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Maurice Martinez

ARETE WEALTH MANAGEMENT
Sunrise, FL 33326
Some features on this profile are disabled
CRD#: 2834495
MM

Professional summary

Maurice Martinez is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Sunrise, Florida.

Maurice is registered as a RR (Registered Representative) and started their career in finance in 2000. Maurice has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Maurice Martinez's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 20, 2022 - Present

ARETE WEALTH MANAGEMENT, LLC

Office #1: 55 Weston Rd. Suite 201, Sunrise, FL 33326
BD
CRD#: 44856
Sunrise, FL
Past

September 26, 2014 - July 21, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
MIAMI, FL
Past

December 12, 2012 - December 6, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
BOCA RATON, FL
Past

February 8, 2012 - November 8, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
BOCA RATON, FL
Past

August 17, 2011 - December 14, 2011

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
COCONUT CREEK, FL
Past

October 19, 2009 - July 22, 2011

IAA FINANCIAL LLC

BD
CRD#: 6578
WEST PALM BEACH, FL
Past

July 8, 2009 - October 21, 2009

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
HUNTINGTON, NY
Past

May 29, 2007 - May 13, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
CORAL SPRINGS, FL
Past

September 19, 2002 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
CORAL SPRINGS, FL
Past

March 28, 2001 - October 10, 2002

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY
Past

March 9, 2000 - November 30, 2000

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY

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
California
(7/20/2022)
RR
Florida
(7/20/2022)
RR
Illinois
(7/20/2022)
RR
Iowa
(7/20/2022)
RR
Kansas
(7/20/2022)
RR
Kentucky
(7/20/2022)
RR
Minnesota
(7/20/2022)
RR
New York
(7/20/2022)
RR
Ohio
(7/20/2022)
RR
Texas
(7/20/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 3/30/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/8/2000
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARETE WEALTH INCDIRECT OWNER
BULLA, CHRISTIAN ALEXANDERMUNICIPAL SECURITIES PRINCIPAL7067640
CHUNG, UNBOCHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER6208569
HOCK, DAVID CARLCHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP)2246268
RAYNER, MICAH HARDINGREGISTERED OPTIONS PRINCIPAL6252596
ROGERS, JOSHUA DEANCHIEF EXECUTIVE OFFICER3163818

Disclosures

Regulatory Event2
Civil Event1
Arbitration3

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.

Company Information

ARETE WEALTH MANAGEMENT, LLC

CRD#: 44856Sunrise, FL 33326

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