Edwin S. Landis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Edwin Stanford Landis was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 1985. Edwin had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2015 - May 17, 2017
ARETE WEALTH MANAGEMENT, LLC
July 8, 2015 - May 17, 2017
ARETE WEALTH ADVISORS, LLC
July 20, 2012 - July 13, 2015
APPLIED FINANCIAL WISDOM
March 22, 2012 - August 3, 2012
RESEARCH FINANCIAL STRATEGIES
May 9, 2008 - March 16, 2012
LPL FINANCIAL LLC
May 9, 2008 - July 23, 2015
LPL FINANCIAL LLC
October 31, 2005 - May 14, 2008
OSAIC SERVICES, INC.
October 31, 2005 - May 14, 2008
OSAIC SERVICES, INC.
April 11, 2002 - October 31, 2005
SENTRA SECURITIES CORPORATION
January 11, 2002 - October 31, 2005
SENTRA SECURITIES CORPORATION
September 20, 1994 - January 14, 2002
MOORS & CABOT, INC.
July 9, 1987 - September 30, 1994
ROBERT W. BAIRD & CO. INCORPORATED
July 9, 1987 - September 30, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 25, 1985 - June 8, 1987
WS GRIFFITH 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
Exams
Series 8
Date: 1/18/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
