TB
Thomas B. Burt
ARETE WEALTH MANAGEMENT
Chicago, IL 60607
Some features on this profile are disabled
CRD#: 2881838
TB
Professional summary
Thomas Barrington Burt, who also goes by T Burt, Thomas Barrington Burt, Thomas Burt, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
T Burt | Thomas Barrington Burt | Thomas Burt
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Barrington Burt'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 1, 2023 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607BD
CRD#: 44856
Chicago, IL
Past
January 4, 2010 - March 4, 2022
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
PRINCETON, NJ
Past
January 20, 2009 - July 7, 2009
NUVEEN FUND ADVISORS, LLC
RIA
CRD#: 104626
CHICAGO, IL
Past
January 4, 2009 - March 4, 2022
BLACKROCK FINANCIAL MANAGEMENT, INC
RIA
CRD#: 107105
Princeton, NJ
Past
January 23, 2003 - December 31, 2003
NUVEEN INVESTMENTS ADVISERS, LLC
RIA
CRD#: 123122
RADNOR, PA
Past
April 24, 2001 - July 7, 2009
NUVEEN SECURITIES, LLC
BD
CRD#: 469
RADNOR, PA
Past
December 19, 1997 - January 26, 2001
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
Past
November 19, 1997 - January 20, 2009
RITTENHOUSE ASSET MANAGEMENT, INC.
RIA
CRD#: 106562
RADNOR, PA
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(7/28/2023)
RR
Alaska(7/28/2023)
RR
Arizona(7/28/2023)
RR
Arkansas(7/28/2023)
RR
California(7/28/2023)
RR
Colorado(7/28/2023)
RR
Connecticut(7/28/2023)
RR
Delaware(7/28/2023)
RR
District of Columbia(7/28/2023)
RR
Florida(7/28/2023)
RR
Georgia(7/28/2023)
RR
Hawaii(7/28/2023)
RR
Idaho(7/28/2023)
RR
Illinois(7/28/2023)
RR
Indiana(7/28/2023)
RR
Iowa(7/28/2023)
RR
Kansas(7/28/2023)
RR
Kentucky(7/28/2023)
RR
Louisiana(7/28/2023)
RR
Maine(7/28/2023)
RR
Maryland(7/28/2023)
RR
Massachusetts(7/28/2023)
RR
Michigan(7/28/2023)
RR
Minnesota(7/28/2023)
RR
Mississippi(7/28/2023)
RR
Missouri(7/28/2023)
RR
Montana(7/28/2023)
RR
Nebraska(7/28/2023)
RR
Nevada(7/28/2023)
RR
New Hampshire(7/28/2023)
RR
New Jersey(7/28/2023)
RR
New Mexico(7/28/2023)
RR
New York(6/1/2023)
RR
North Carolina(7/28/2023)
RR
North Dakota(7/28/2023)
RR
Ohio(7/31/2023)
RR
Oklahoma(7/28/2023)
RR
Oregon(7/28/2023)
RR
Pennsylvania(6/1/2023)
RR
Rhode Island(7/28/2023)
RR
South Carolina(7/28/2023)
RR
South Dakota(7/28/2023)
RR
Tennessee(7/28/2023)
RR
Texas(7/28/2023)
RR
Utah(7/28/2023)
RR
Vermont(7/28/2023)
RR
Virginia(7/28/2023)
RR
Washington(7/28/2023)
RR
West Virginia(7/28/2023)
RR
Wisconsin(7/28/2023)
RR
Wyoming(7/28/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
