KM
Keith H. Medeck
ARETE WEALTH MANAGEMENT
New York, NY 10004
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CRD#: 3011429
KM
Professional summary
Keith Howard Medeck, who also goes by Keith H Medeck, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in New York, New York.
Keith is registered as a RR (Registered Representative) and started their career in finance in 1999. Keith has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Keith H Medeck
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 Keith Howard Medeck'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
July 20, 2022 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 5 Hanover Sq. 12th Floor, New York, NY 10004BD
CRD#: 44856
New York, NY
Past
January 21, 2004 - July 21, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
Past
December 7, 2000 - January 29, 2004
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, NY
Past
November 12, 1999 - December 20, 2000
MILLENNIUM SECURITIES CORP.
BD
CRD#: 31695
NEW YORK, 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
Arizona(7/20/2022)
RR
California(7/20/2022)
RR
Colorado(9/27/2022)
RR
Connecticut(8/3/2022)
RR
Florida(8/10/2022)
RR
Georgia(9/14/2022)
RR
Illinois(1/3/2023)
RR
Indiana(8/15/2022)
RR
Iowa(10/4/2022)
RR
Kentucky(8/9/2022)
RR
Louisiana(7/20/2022)
RR
Michigan(7/20/2022)
RR
Minnesota(8/1/2022)
RR
Mississippi(3/27/2023)
RR
Nebraska(8/4/2022)
RR
Nevada(8/11/2022)
RR
New Mexico(7/20/2022)
RR
New York(7/20/2022)
RR
North Carolina(8/5/2022)
RR
Ohio(7/20/2022)
RR
Oregon(12/2/2022)
RR
Pennsylvania(8/10/2022)
RR
South Carolina(9/15/2022)
RR
Tennessee(9/12/2025)
RR
Texas(7/20/2022)
RR
Virginia(9/8/2022)
RR
Washington(11/30/2022)
RR
West Virginia(7/20/2022)
RR
Wisconsin(9/29/2022)
RR
Wyoming(8/19/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 11/1/1999
Corporate Securities Limited Representative ExaminationSRO 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.
