Phillip C. Kao

ARETE WEALTH MANAGEMENT

San Rafael, CA 94903

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CRD#: 4654233

Professional summary

Phillip C Kao, who also goes by Phillip Chien-cheng Kao, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in San Rafael, California.

Phillip is registered as a RR (Registered Representative) and started their career in finance in 2003. Phillip has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Phillip Chien-Cheng Kao

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Phillip C Kao's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 9, 2024 - Present

ARETE WEALTH MANAGEMENT, LLC

Office #1: 100 Smith Ranch Road Suite 110, San Rafael, CA 94903

CRD#: 44856

San Rafael, CA

Past

August 2, 2021 - December 31, 2024

PORTSMOUTH FINANCIAL SERVICES

CRD#: 13980

SAN FRANCISCO, CA

Past

September 4, 2015 - August 4, 2021

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

CUPERTINO, CA

Past

November 24, 2010 - September 16, 2015

LPL FINANCIAL LLC

CRD#: 6413

SAN JOSE, CA

Past

September 15, 2008 - December 1, 2010

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

CUPERTINO, CA

Past

June 4, 2003 - September 16, 2008

WAMU INVESTMENTS, INC.

CRD#: 599

CUPERTINO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(12/20/2024)

Georgia
(1/3/2025)

Oregon
(9/22/2025)

Exams

State Security Law Exam

Series 63

Date: 9/19/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/2/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ARETE WEALTH MANAGEMENT, LLC

ARETE WEALTH MANAGEMENT, LLC | KEYSTONE SECURITIES, LLC. | KEYSTONE SECURITIES, LLC | KEYSTONE INVESTMENT ADVISORS, LLC

CRD#: 44856 / SEC#: , 8-50854

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Advisor Monitoring

Firm Stability Insights

Phillip C. Kao

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Phillip C Kao's CRS (Customer Relationship Summary).

Certified licenses

Experience

PORTSMOUTH FINANCIAL SERVICES

WOODBURY FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

NEXT FINANCIAL GROUP, INC.

WAMU INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/19/2003

SIE

Date: 10/1/2018

Series 7

Date: 6/2/2003

FINRA

Current Firm

ARETE WEALTH MANAGEMENT, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ARETE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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