Joshua Dean Rogers | Financial Professional | Chicago, Illinois | ARETE WEALTH ADVISORS, LLC

Professional summary

Joshua Dean Rogers, who also goes by Josh Dean Rogers, is a registered financial advisor currently at ARETE WEALTH ADVISORS, LLC located in Chicago, Illinois and ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Joshua has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, SIE, Series 31, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Josh Dean Rogers

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.

ARETE WEALTH INC. CEO AND CHAIRMAN OF THE BOARD; COMPENSATION = SALARY + BONUSES + STOCK OPTIONS; ARETE WEALTH INC. IS A HOLDING COMPANY DESIGNED TO PURCHASE, OWN AND OPERATE FINANCIAL SERVICES COMPANIES INCLUDING THE ONES LISTED BELOW: 10/23/07 ARETE WEALTH ADVISORS, LLC: CEO; OFFERS FEE BASED FINANCIAL ADVISORY SERVICES, INVESTMENT RELATED AT THE SAME LOCATION AND IN CONJUCTION WITH OTHER DAILY ACTIVITIES. 10/30/07 ARETE INSURANCE AGENCY, LLC: MANAGING MEMBER; OFFERS VARIOUS NON SECURITY INSURANCE PRODUCTS, INVESTMENT RELATED AT THE SAME LOCATION AND IN CONJUCTION WITH OTHER DAILY ACTIVITIES 10/30/07 ARETE CONSULTING, LLC: CEO; OFFERS CONSULTING SERVICES, INVESTMENT RELATED AT THE SAME LOCATION AND IN CONJUCTION WITH OTHER DAILY ACTIVITIES. 11/01/11 JOSH ROGERS IS A MANAGING MEMBER OF GREEN LLC. GREEN IS A PRIVATE EQUITY SPONSOR THAT MANAGES ISSUING ENTITIES THAT INVEST IN VARIOUS BUSINESSES FOCUSED ON RENEWABLE ENERGY. GREEN IS THE MANAGER OF GREEN STANDARD RESOURCES MANAGEMENT LLC, WHICH IS THE MANAGER OF GREEN STANDARD RESOURCES LLC. CURRENTLY THERE IS NO COMPENSATION. 07/31/13 JOSH ROGERS IS THE MANAGING MEMBER OF JRC VEG LLC. THIS ENTITY PROVIDES CONSULTING SERVICES AND OWNS A 10% INTEREST IN VIESTE ENERGY LLC AND A 22% INTEREST IN VIESTE GROUP LLC RESPECTIVELY. CURRENTLY NO COMPENSATION. 11/20/14 JOSH ROGERS IS A MEMBER OF THE BOARD OF DIRECTORS OF VIESTE GROUP LLC. VIESTE GROUP IS A HOLDING COMPANY FOR A RANGE OF RENEWABLE ENERGY INFRASTRUCTURE PROJECTS. CURRENTLY NO COMPENSATION. 11/20/14 JOSH ROGERS IS A MEMBER OF ARETE GROWTH PARTNERS LLC. THIS IS A HOLDING COMPANY THAT PRIMARILY OWNS REAL ESTATE. CURRENTLY NO COMPENSATION. 11/30/17 JOSH ROGERS IS A MANAGING MEMBER OF WINDY CITY CRYPTO LLC. THIS LLC OWNS AN INTEREST IN A PRIVATELY HELD BLOCKCHAIN SECURITY COMPANY. THE INVESTMENT IS PASSIVE. THERE IS NO COMPENSATION. 04/03/18 JOSH ROGERS IS THE SOLE MEMBER OF AREH II LLC WHICH OWNS AN APARTMENT IN CHICAGO. NO COMPENSATION. 07/09/20 ARETE SHIELD INSURANCE COMPANY INC: INSURANCE SALES; OFFICER/DIRECTOR; NOT INVESTMENT RELATED. COMPENSATION = PROFIT DIVIDENDS. Night Radio Film, Inc., Producer, Help to produce films, New York, New York, not investment related, 1 hour per month, 0 during trading hours, Start date: 1/2025.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Dean Rogers'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

November 26, 2007 - Present

ARETE WEALTH ADVISORS, LLC

Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607

RIA

CRD#: 145488

Chicago, IL

Current

August 17, 2007 - Present

ARETE WEALTH MANAGEMENT, LLC

Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607

BD

CRD#: 25668

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AW

ARETE WEALTH ADVISORS, LLC

CRD#: 145488 / SEC#: 801-69827

RIA

Registered Investment Advisory firm - (1/5/2009 Approved)

District of Columbia

Registered Investment Advisory firm - (1/12/2009 Terminated)

Illinois

Registered Investment Advisory firm - (1/8/2008 Terminated)

Maryland

Registered Investment Advisory firm - (2/10/2009 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/22/2009 Terminated)

Virginia

Registered Investment Advisory firm - (1/12/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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
(11/30/2011)

RR

California
(8/17/2007)

RR

District of Columbia
(12/13/2007)

IAR

District of Columbia
(3/4/2008)

RR

Florida
(8/30/2010)

IAR

Florida
(2/21/2012)

RR

Hawaii
(9/29/2015)

RR

Illinois
(8/17/2007)

IAR

Illinois
(11/26/2007)

RR

Indiana
(8/6/2013)

IAR

Indiana
(8/6/2013)

RR

Kansas
(8/17/2010)

RR

Maryland
(6/5/2012)

IAR

Maryland
(6/5/2012)

RR

Missouri
(6/3/2016)

RR

Nevada
(4/9/2010)

RR

New Hampshire
(5/10/2012)

RR

New Mexico
(2/1/2012)

RR

New York
(1/14/2010)

RR

North Carolina
(1/25/2012)

IAR

North Carolina
(6/26/2013)

RR

North Dakota
(9/1/2017)

RR

Oregon
(9/11/2017)

RR

Pennsylvania
(6/16/2015)

RR

South Dakota
(2/8/2016)

RR

Texas
(4/26/2010)

RR

Wisconsin
(6/3/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

General Securities Principal Examination

SRO Registrations

RR

FINRA

Current Firm

AW

ARETE WEALTH ADVISORS, LLC

CRD#: 145488 / SEC#: 801-69827

RIA

Registered Investment Advisory firm - (1/5/2009 Approved)

District of Columbia

Registered Investment Advisory firm - (1/12/2009 Terminated)

Illinois

Registered Investment Advisory firm - (1/8/2008 Terminated)

Maryland

Registered Investment Advisory firm - (2/10/2009 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/22/2009 Terminated)

Virginia

Registered Investment Advisory firm - (1/12/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1115 W Fulton Market 3rd Floor, Chicago, IL 60607

Mailing Address

Phone number

(312) 940-3684

Established

Firm type

Fiscal year end

# of Employees

138

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ARETE WEALTH ADV2A - 04.01.2025 (4/1/2025)

ARETE WEALTH WRAP FEE BROCHURE - 03.31.2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	5,837
AUM (Assets Under Management)	$ 3,152,167,506

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.

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Advisor Monitoring

Firm Stability Insights

Joshua D. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Dean Rogers's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARETE WEALTH MANAGEMENT, LLC

CENTER STREET SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

WEATHERLY SECURITIES CORPORATION

PRIME CHARTER LTD.

Primary Firm SEC Registration

ARETE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/10/1999

Series 63

Date: 1/15/1999

Series 52TO

Date: 1/31/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 11/23/2011

Series 7

Date: 1/11/1999

Series 4

Date: 6/7/2006

Series 53

Date: 8/18/2004

Series 24

Date: 2/12/2004

FINRA

Current Firm

ARETE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARETE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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