Lawrence A. Hardee
Professional summary
Lawrence Alan Hardee is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.
Lawrence is registered as a RR (Registered Representative) and started their career in finance in 1987. Lawrence has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Alan Hardee's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 14, 2023 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607June 14, 2023 - March 27, 2024
ARETE WEALTH ADVISORS, LLC
March 24, 2015 - June 21, 2023
CENTER STREET ADVISORS, INC.
January 21, 2014 - March 23, 2015
BROOKSTONE CAPITAL MANAGEMENT LLC
November 4, 2011 - November 9, 2023
CENTER STREET SECURITIES, INC.
January 25, 2007 - January 20, 2014
BROOKSTONE CAPITAL MANAGEMENT LLC
April 29, 2005 - December 31, 2005
ESSEX SECURITIES LLC
September 15, 2000 - April 29, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
July 27, 1987 - March 24, 1988
FORESTERS FINANCIAL SERVICES, 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
(8/22/2023)
(8/14/2023)
(8/23/2023)
(10/5/2023)
(10/23/2025)
(8/24/2023)
(6/26/2023)
(6/22/2023)
(6/20/2023)
(1/2/2024)
(7/6/2023)
(6/16/2023)
(6/22/2023)
(6/14/2023)
(8/30/2023)
Exams
FINRA
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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