LK
Leonard J. Keating
ARETE WEALTH MANAGEMENT
Chicago, IL 60607
Some features on this profile are disabled
CRD#: 4482922
LK
Professional summary
Leonard Joseph Keating, who also goes by Leonard Joseph Keating III, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.
Leonard is registered as a RR (Registered Representative) and started their career in finance in 2001. Leonard has worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Leonard Joseph Keating Iii
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 Leonard Joseph Keating'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
April 23, 2026 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607BD
CRD#: 44856
Chicago, IL
Past
September 15, 2021 - March 10, 2026
WILLIAM BLAIR
RIA
CRD#: 1252
DENVER, CO
Past
September 1, 2021 - March 10, 2026
WILLIAM BLAIR
BD
CRD#: 1252
DENVER, CO
Past
March 13, 2007 - September 1, 2021
CAMBIAR INVESTORS, LLC
RIA
CRD#: 115093
DENVER, CO
Past
March 16, 2006 - June 18, 2021
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
DENVER, CO
Past
April 12, 2005 - January 18, 2006
NORTHERN TRUST SECURITIES, INC.
RIA
CRD#: 7927
CHICAGO, IL
Past
April 12, 2005 - January 18, 2006
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
CHICAGO, IL
Past
March 1, 2002 - March 15, 2005
AMG DISTRIBUTORS, INC.
BD
CRD#: 27314
STAMFORD, CT
Past
January 2, 2001 - March 16, 2005
RORER ASSET MANAGEMENT LLC
RIA
CRD#: 104575
CONSHOHOCKEN, PA
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(4/23/2026)
RR
Alaska(4/23/2026)
RR
Arizona(4/23/2026)
RR
Arkansas(4/23/2026)
RR
California(4/23/2026)
RR
Colorado(4/23/2026)
RR
Connecticut(4/23/2026)
RR
Delaware(4/23/2026)
RR
District of Columbia(4/23/2026)
RR
Florida(4/23/2026)
RR
Georgia(4/23/2026)
RR
Hawaii(4/23/2026)
RR
Idaho(4/23/2026)
RR
Illinois(4/23/2026)
RR
Indiana(4/23/2026)
RR
Iowa(4/23/2026)
RR
Kansas(4/23/2026)
RR
Kentucky(4/23/2026)
RR
Louisiana(4/23/2026)
RR
Maine(4/23/2026)
RR
Maryland(4/23/2026)
RR
Massachusetts(4/23/2026)
RR
Michigan(4/23/2026)
RR
Minnesota(4/23/2026)
RR
Mississippi(4/23/2026)
RR
Missouri(4/23/2026)
RR
Montana(4/23/2026)
RR
Nebraska(4/23/2026)
RR
Nevada(4/23/2026)
RR
New Hampshire(4/23/2026)
RR
New Jersey(4/23/2026)
RR
New Mexico(4/23/2026)
RR
New York(4/23/2026)
RR
North Carolina(4/24/2026)
RR
North Dakota(4/23/2026)
RR
Ohio(4/23/2026)
RR
Oklahoma(4/23/2026)
RR
Oregon(4/23/2026)
RR
Pennsylvania(4/23/2026)
RR
Rhode Island(4/23/2026)
RR
South Carolina(4/23/2026)
RR
South Dakota(4/23/2026)
RR
Tennessee(4/23/2026)
RR
Texas(4/23/2026)
RR
Utah(4/23/2026)
RR
Vermont(4/23/2026)
RR
Virginia(4/23/2026)
RR
Washington(4/23/2026)
RR
West Virginia(4/23/2026)
RR
Wisconsin(4/23/2026)
RR
Wyoming(4/23/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/1/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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 |
| CUCHARALE, CATHERINE | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 3054881 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| LEVINE, DAVID CHARLES | CHIEF EXECUTIVE OFFICER | |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| TROUSDALE, LAUREN NICOLE | FINANCIAL OPERATIONS PRINCIPAL | 5622407 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
