Eamonn J. Alwell
Professional summary
Eamonn James Alwell is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in New York, New York.
Eamonn is registered as a RR (Registered Representative) and started their career in finance in 1986. Eamonn has worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eamonn James Alwell's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 23, 2022 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 5 Hanover Sq. 12th Floor, New York, NY 10004July 22, 2022 - August 22, 2022
B. RILEY WEALTH MANAGEMENT
October 18, 2000 - July 22, 2022
NATIONAL SECURITIES CORPORATION
December 7, 1999 - October 26, 2000
SHARPE CAPITAL, INC.
December 17, 1991 - April 20, 2001
APEX CLEARING CORPORATION
August 29, 1989 - November 8, 1991
SLS SECURITIES COMPANY
April 21, 1989 - July 31, 1989
EMANUEL AND COMPANY
April 23, 1986 - April 19, 1989
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/23/2022)
(8/23/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/7/2008
Limited Representative-Equity Trader ExamFINRA
Current Firm
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856 / SEC#: , 8-50854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | |
| BULLA, CHRISTIAN ALEXANDER | MUNICIPAL SECURITIES PRINCIPAL | 7067640 |
| CHUNG, UNBO | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 6208569 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| ROGERS, JOSHUA DEAN | CHIEF EXECUTIVE OFFICER | 3163818 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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