Joseph L. Laganza
Professional summary
Joseph Lewis Laganza JR., who also goes by Joseph Lewis Laganza Jr., is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2008. Joseph has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Lewis Laganza JR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2020 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607February 1, 2018 - October 11, 2019
SKYWAY CAPITAL MARKETS, LLC
August 11, 2014 - January 19, 2018
SHOPOFF SECURITIES, INC.
June 16, 2014 - August 8, 2014
ATEL SECURITIES CORPORATION
December 5, 2012 - June 5, 2014
ATEL SECURITIES CORPORATION
December 17, 2010 - November 9, 2012
GRIFFIN CAPITAL SECURITIES, LLC
April 6, 2009 - December 21, 2010
LIGHTSTONE SECURITIES, LLC
April 4, 2008 - March 24, 2009
OSAIC WEALTH, 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
(1/3/2020)
(1/3/2020)
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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