Karl W. Kloster
Professional summary
Karl Weston Kloster, who also goes by Karl Kloster, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.
Karl is registered as a RR (Registered Representative) and started their career in finance in 1995. Karl has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karl Weston Kloster's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 22, 2024 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607September 19, 2017 - October 18, 2024
JCC CAPITAL MARKETS, LLC
January 2, 2015 - September 18, 2017
EMERSON EQUITY LLC
March 26, 2014 - December 31, 2014
ARQUE CAPITAL, LTD.
May 5, 2010 - March 13, 2014
LOCORR DISTRIBUTORS, LLC
December 11, 2009 - April 9, 2010
PRUCO SECURITIES, LLC.
January 1, 2007 - June 4, 2009
RIVERSOURCE DISTRIBUTORS, INC.
October 15, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
October 13, 2004 - October 15, 2004
IDS LIFE INSURANCE COMPANY
March 6, 2003 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
July 11, 2002 - January 24, 2003
PIPER SANDLER & CO.
January 15, 2002 - July 5, 2002
IDS LIFE INSURANCE COMPANY
January 15, 2002 - July 5, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
April 28, 1998 - August 30, 2001
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
August 20, 1996 - November 3, 1998
IDS LIFE INSURANCE COMPANY
August 20, 1996 - November 3, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
November 9, 1995 - December 14, 1995
TCF INVESTMENTS, INC.
January 16, 1995 - September 8, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/22/2024)
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
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.
