Matthew Smith
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.
Matthew Smith, who also goes by Matthew Raymond Smith, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1998. Matthew had worked at 11 firms and has passed the Series 63, Series 65, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2022 - March 10, 2025
ARETE WEALTH MANAGEMENT, LLC
June 11, 2021 - January 28, 2022
S2K FINANCIAL LLC
November 14, 2019 - June 8, 2021
BAKER TILLY CAPITAL, LLC
September 26, 2018 - September 20, 2019
TRILOMA SECURITIES, LLC
September 5, 2018 - September 14, 2018
SEQUENCE FINANCIAL SPECIALISTS LLC
August 28, 2015 - September 4, 2018
SHOPOFF SECURITIES, INC.
October 31, 2012 - August 14, 2015
ARQUE CAPITAL, LTD.
June 20, 2011 - August 13, 2012
BLUEROCK CAPITAL MARKETS LLC
August 16, 2007 - May 2, 2011
PACIFIC CORNERSTONE CAPITAL INCORPORATED
July 1, 2003 - August 2, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - August 2, 2007
WELLS FARGO CLEARING SERVICES, LLC
March 27, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 30, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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.
