Don L. Ferrari
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.
Don Lee Ferrari was a registered financial professional .
Don is a previously registered financial professional and started their career in finance in 1993. Don had worked at 8 firms and has passed the Series 63, 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
August 18, 2014 - April 19, 2017
ARETE WEALTH MANAGEMENT, LLC
November 4, 2013 - March 10, 2014
MERRIMAC CORPORATE SECURITIES, INC.
August 22, 2012 - May 8, 2013
INTERNATIONAL ASSETS ADVISORY, LLC
October 18, 2011 - August 9, 2012
TNP SECURITIES, LLC
March 10, 2011 - September 14, 2011
COLORADO FINANCIAL SERVICE CORPORATION
November 9, 1998 - March 22, 2010
GRUBB & ELLIS SECURITIES, INC.
February 25, 1998 - October 1, 1998
RIDGEMONT SECURITIES, INC.
May 11, 1993 - May 23, 1997
OFFROAD 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
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 |
| CUCHARALE, CATHERINE | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 3054881 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| LEVINE, DAVID CHARLES | CHIEF EXECUTIVE OFFICER | |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| TROUSDALE, LAUREN NICOLE | FINANCIAL OPERATIONS PRINCIPAL | 5622407 |
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.
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