DS
Dwayne Samboy
ARETE WEALTH MANAGEMENT
Sunrise, FL 33326
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CRD#: 4462453
DS
Professional summary
Dwayne Samboy is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Sunrise, Florida.
Dwayne is registered as a RR (Registered Representative) and started their career in finance in 2001. Dwayne has worked at 3 firms and has passed the Series 63, Series 87, Series 79TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Dwayne Samboy'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
July 20, 2022 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 55 Weston Rd. Suite 201, Sunrise, FL 33326BD
CRD#: 44856
Sunrise, FL
Past
February 9, 2010 - July 20, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
MIAMI, FL
Past
September 23, 2005 - March 10, 2008
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
Past
January 20, 2004 - August 1, 2005
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
October 15, 2001 - January 29, 2004
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(7/20/2022)
RR
Alaska(8/8/2022)
RR
Arizona(7/20/2022)
RR
Arkansas(7/20/2022)
RR
California(7/20/2022)
RR
Colorado(8/8/2022)
RR
Connecticut(7/22/2022)
RR
Delaware(7/22/2022)
RR
District of Columbia(7/22/2022)
RR
Florida(8/8/2022)
RR
Georgia(7/20/2022)
RR
Hawaii(7/20/2022)
RR
Idaho(7/20/2022)
RR
Illinois(8/8/2022)
RR
Indiana(7/20/2022)
RR
Iowa(7/20/2022)
RR
Kansas(7/20/2022)
RR
Kentucky(7/20/2022)
RR
Louisiana(7/20/2022)
RR
Maine(7/22/2022)
RR
Maryland(7/20/2022)
RR
Massachusetts(7/20/2022)
RR
Michigan(7/20/2022)
RR
Minnesota(8/9/2022)
RR
Mississippi(7/20/2022)
RR
Missouri(7/20/2022)
RR
Montana(7/20/2022)
RR
Nebraska(7/20/2022)
RR
Nevada(7/20/2022)
RR
New Hampshire(7/20/2022)
RR
New Jersey(7/20/2022)
RR
New York(7/20/2022)
RR
North Carolina(8/16/2022)
RR
North Dakota(7/20/2022)
RR
Ohio(7/20/2022)
RR
Oklahoma(7/20/2022)
RR
Oregon(7/20/2022)
RR
Pennsylvania(7/20/2022)
RR
Puerto Rico(7/20/2022)
RR
Rhode Island(7/20/2022)
RR
South Carolina(7/20/2022)
RR
South Dakota(7/20/2022)
RR
Tennessee(7/20/2022)
RR
Texas(7/20/2022)
RR
Utah(7/20/2022)
RR
Vermont(7/20/2022)
RR
Virginia(8/8/2022)
RR
Washington(8/8/2022)
RR
West Virginia(7/22/2022)
RR
Wisconsin(7/20/2022)
RR
Wyoming(7/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 79TO
Date: 11/25/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ARETE WEALTH MANAGEMENT, LLC
ARETE WEALTH MANAGEMENT, LLC | KEYSTONE SECURITIES, LLC. | KEYSTONE SECURITIES, LLC | KEYSTONE INVESTMENT ADVISORS, LLC
CRD#: 44856 / SEC#: , 8-50854
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1115 W Fulton Market 3rd Floor, Chicago, IL 60607
Mailing Address
1115 W Fulton Market 3rd Floor, Chicago, IL 60607
Phone number
(312) 940-3684
Established
Illinois since 01/20/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856Sunrise, FL 33326TRUST BUT VERIFY
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