Donald E. Platz
Professional summary
Donald Edward Platz is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.
Donald is registered as a RR (Registered Representative) and started their career in finance in 1972. Donald has worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Donald Edward Platz's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 14, 2024 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607August 27, 2001 - May 14, 2007
U-TRADE BROKERAGE, LLC.
January 29, 1997 - June 24, 2024
THE WINDMILL GROUP, INC.
December 16, 1994 - June 29, 2000
BENCH SECURITIES CORP.
September 30, 1987 - April 5, 1988
BENCH SECURITIES CORP.
February 18, 1982 - June 21, 1989
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 31, 1979 - March 8, 1983
VERRILLI ALTSCHULER SCHWARTZ INC.
January 21, 1977 - December 19, 1994
FIRST EASTERN EQUITY CORP.
January 16, 1973 - July 29, 1974
HALE SECURITIES CORP.
December 21, 1972 - March 7, 1973
CUSTODIAN SECURITY BROKERAGE CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/14/2024)
(5/14/2024)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 12/18/1972
Registered Representative ExaminationF04
Date: 11/4/1976
Financial Principal ExaminationSeries 40
Date: 10/28/1976
Registered Principal ExaminationFINRA
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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