Dwain A. Phelps
Professional summary
Dwain Antoine Phelps, who also goes by Dwain Antoine Phelps, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.
Dwain is registered as a RR (Registered Representative) and started their career in finance in 1998. Dwain has worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dwain Antoine Phelps's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 8, 2023 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607July 7, 2022 - December 1, 2023
CENTER STREET SECURITIES, INC.
January 5, 2015 - May 26, 2022
CORECAP INVESTMENTS, LLC
October 7, 2014 - December 19, 2014
KOVACK SECURITIES INC.
September 6, 2013 - October 3, 2014
RESOURCE HORIZONS GROUP LLC
August 12, 2011 - September 3, 2013
PEAK BROKERAGE SERVICES, LLC
August 31, 2009 - August 15, 2011
CAPE SECURITIES INC.
November 13, 2002 - June 29, 2009
WOODBURY FINANCIAL SERVICES, INC.
September 16, 1998 - November 20, 2002
THE O.N. EQUITY SALES COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/11/2023)
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
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