Peilee Liu
Professional summary
Peilee Liu, who also goes by Shirley Liu, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.
Peilee is registered as a RR (Registered Representative) and started their career in finance in 1999. Peilee has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peilee Liu's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 4, 2024 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607September 9, 2013 - December 31, 2024
PORTSMOUTH FINANCIAL SERVICES
March 19, 2013 - November 20, 2013
EAST / WEST SECURITIES CORP.
January 12, 2010 - March 4, 2013
W.R. HAMBRECHT + CO., LLC
July 31, 2000 - April 16, 2010
WHITE PACIFIC SECURITIES, INC.
August 14, 1999 - July 31, 2000
ACUMENT SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/4/2024)
(1/2/2025)
(1/2/2025)
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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