JR
Joshua D. Rogers
ARETE WEALTH ADVISORS
Chicago, IL 60607
Some features on this profile are disabled
CRD#: 3163818
JR
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.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Dean Rogers'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
November 26, 2007 - Present
ARETE WEALTH ADVISORS, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607RIA
CRD#: 145488
Chicago, IL
Current
August 17, 2007 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607BD
CRD#: 44856
Chicago, IL
Past
January 31, 2023 - November 14, 2023
CENTER STREET SECURITIES, INC.
BD
CRD#: 26898
NASHVILLE, TN
Past
January 1, 2000 - June 21, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CHICAGO, IL
Past
October 12, 1999 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 12, 1999 - June 21, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CHICAGO, IL
Past
June 21, 1999 - September 16, 1999
WEATHERLY SECURITIES CORPORATION
BD
CRD#: 11081
NEW YORK, NY
Past
January 12, 1999 - June 17, 1999
PRIME CHARTER LTD.
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
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS 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)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)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/31/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ARETE WEALTH ADVISORS, LLC
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS 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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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.
