David A. Bench
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.
David Ari Bench was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 6 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 86, Series 87, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2018 - June 29, 2020
ARETE WEALTH MANAGEMENT, LLC
June 30, 2015 - April 23, 2018
TRIPOINT GLOBAL EQUITIES/BANQ(R)
September 20, 2011 - December 23, 2014
MONARCH CAPITAL GROUP, LLC
July 22, 2008 - October 19, 2009
BRADLEY WOODS & CO. LTD.
March 23, 2004 - June 20, 2006
SLOAN SECURITIES CORP.
April 20, 1999 - April 9, 2002
NATIXIS SECURITIES AMERICAS LLC
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
Series 7TO
Date: 6/14/2024
General Securities Representative ExaminationSeries 79TO
Date: 6/14/2024
Investment Banking Registered Representative ExaminationCurrent 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.
