MM
Marie E. Mccarthy
ARETE WEALTH MANAGEMENT
Chicago, IL 60607
Some features on this profile are disabled
CRD#: 1798497
MM
Professional summary
Marie Elizabeth Mccarthy, who also goes by Marie Elizabeth Knox, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.
Marie is registered as a RR (Registered Representative) and started their career in finance in 1993. Marie has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Marie Elizabeth Knox
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) Caroline House (Bridgeport, CT). Member of the Board of Directors. Mission of Caroline House is to enable women and children in need of English skills to reach full potential via education. 4 hours per month devoted to organization (2) Expect Miracles Foundation; EMF ralliies the finacial services industry to invest in life-saving cancer research while advancing the financial and emotional well being of people impacted by cancer.; Board Member; Help raise awareness of EMF events and fund raising activities.; 4-5 hours hrs/month; Start Date:01-22-2024
CRS (Client Relationship Summary) - BD
Click below to view Marie Elizabeth Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 7, 2024 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607BD
CRD#: 44856
Chicago, IL
Past
October 21, 2013 - March 11, 2024
BLACKROCK FINANCIAL MANAGEMENT, INC
RIA
CRD#: 107105
NEW YORK, NY
Past
September 29, 2006 - March 11, 2024
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
NEW YORK, NY
Past
April 11, 2003 - September 29, 2006
FAM DISTRIBUTORS, INC.
BD
CRD#: 4100
NEW YORK, NY
Past
August 20, 1993 - March 26, 2001
AMUNDI DISTRIBUTOR US, INC.
BD
CRD#: 24497
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/7/2024)
RR
Alaska(6/7/2024)
RR
Arizona(6/7/2024)
RR
Arkansas(6/7/2024)
RR
California(6/7/2024)
RR
Colorado(6/7/2024)
RR
Connecticut(6/7/2024)
RR
Delaware(6/7/2024)
RR
District of Columbia(6/7/2024)
RR
Florida(6/7/2024)
RR
Georgia(6/7/2024)
RR
Hawaii(6/7/2024)
RR
Idaho(6/7/2024)
RR
Illinois(6/7/2024)
RR
Indiana(6/7/2024)
RR
Iowa(6/7/2024)
RR
Kansas(6/7/2024)
RR
Kentucky(6/7/2024)
RR
Louisiana(6/7/2024)
RR
Maine(6/7/2024)
RR
Maryland(6/7/2024)
RR
Massachusetts(6/7/2024)
RR
Michigan(6/7/2024)
RR
Minnesota(6/7/2024)
RR
Mississippi(6/7/2024)
RR
Missouri(6/7/2024)
RR
Montana(6/7/2024)
RR
Nebraska(6/7/2024)
RR
Nevada(6/7/2024)
RR
New Hampshire(6/7/2024)
RR
New Jersey(6/7/2024)
RR
New Mexico(6/7/2024)
RR
New York(6/7/2024)
RR
North Carolina(6/12/2024)
RR
North Dakota(6/7/2024)
RR
Ohio(6/9/2024)
RR
Oklahoma(6/7/2024)
RR
Oregon(6/7/2024)
RR
Pennsylvania(6/7/2024)
RR
Rhode Island(6/7/2024)
RR
South Carolina(6/7/2024)
RR
South Dakota(6/7/2024)
RR
Tennessee(6/7/2024)
RR
Texas(6/7/2024)
RR
Utah(6/7/2024)
RR
Vermont(6/7/2024)
RR
Virginia(6/7/2024)
RR
Washington(6/7/2024)
RR
West Virginia(6/7/2024)
RR
Wisconsin(6/7/2024)
RR
Wyoming(6/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ARETE WEALTH MANAGEMENT, LLC
ARETE WEALTH MANAGEMENT, LLC | KEYSTONE SECURITIES, LLC. | KEYSTONE SECURITIES, LLC | KEYSTONE INVESTMENT ADVISORS, LLC
CRD#: 44856 / SEC#: , 8-50854
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1115 W Fulton Market 3rd Floor, Chicago, IL 60607
Mailing Address
1115 W Fulton Market 3rd Floor, Chicago, IL 60607
Phone number
(312) 940-3684
Established
Illinois since 01/20/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
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.
