Benjamin A. Cunningham
ARETE WEALTH MANAGEMENT
Chicago, IL 60607
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CRD#: 4571445
Professional summary
Benjamin A Cunningham, CFP®, CIMA®, who also goes by Benjamin A Cunningham, Benjamin Atterbury Cunningham, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2003. Benjamin has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Benjamin A Cunningham | Benjamin Atterbury Cunningham
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 Benjamin A Cunningham'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®
CFP®
Start date: 2015
Experience
Current
April 3, 2023 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607BD
CRD#: 44856
Chicago, IL
Past
September 14, 2010 - June 9, 2022
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
PRINCETON, NJ
Past
September 10, 2010 - June 9, 2022
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
PRINCETON, NJ
Past
June 1, 2009 - July 30, 2010
MORGAN STANLEY
BD
CRD#: 149777
SANTA MONICA, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PURCHASE, NY
Past
June 7, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 27, 2003 - March 11, 2004
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(7/30/2023)
RR
Alaska(7/30/2023)
RR
Arizona(7/30/2023)
RR
Arkansas(7/30/2023)
RR
California(7/30/2023)
RR
Colorado(7/30/2023)
RR
Connecticut(7/30/2023)
RR
Delaware(7/30/2023)
RR
District of Columbia(7/30/2023)
RR
Florida(7/30/2023)
RR
Georgia(7/30/2023)
RR
Hawaii(7/30/2023)
RR
Idaho(7/30/2023)
RR
Illinois(7/30/2023)
RR
Indiana(7/30/2023)
RR
Iowa(7/30/2023)
RR
Kansas(7/30/2023)
RR
Kentucky(7/30/2023)
RR
Louisiana(7/30/2023)
RR
Maine(7/30/2023)
RR
Maryland(7/30/2023)
RR
Massachusetts(7/30/2023)
RR
Michigan(7/30/2023)
RR
Minnesota(7/30/2023)
RR
Mississippi(7/30/2023)
RR
Missouri(7/30/2023)
RR
Montana(7/30/2023)
RR
Nebraska(7/30/2023)
RR
Nevada(7/30/2023)
RR
New Hampshire(7/30/2023)
RR
New Jersey(7/30/2023)
RR
New Mexico(7/30/2023)
RR
New York(4/3/2023)
RR
North Carolina(7/31/2023)
RR
North Dakota(7/30/2023)
RR
Ohio(7/31/2023)
RR
Oklahoma(7/30/2023)
RR
Oregon(7/30/2023)
RR
Pennsylvania(7/30/2023)
RR
Rhode Island(7/30/2023)
RR
South Carolina(7/30/2023)
RR
South Dakota(7/30/2023)
RR
Tennessee(7/30/2023)
RR
Texas(7/30/2023)
RR
Utah(7/30/2023)
RR
Vermont(7/30/2023)
RR
Virginia(7/30/2023)
RR
Washington(7/30/2023)
RR
West Virginia(7/30/2023)
RR
Wisconsin(7/30/2023)
RR
Wyoming(7/30/2023)
Exams
State Security Law Exam
General 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 |
| 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
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.
