Daniel H. Soe
Professional summary
Daniel Hyun Bum Soe, who also goes by Caniel Hyun Bum Soe, Hyun Bum Soe, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2004. Daniel has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Hyun Bum Soe's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 21, 2022 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 5 Hanover Sq. 12th Floor, New York, NY 10004February 25, 2010 - July 20, 2022
NATIONAL SECURITIES CORPORATION
April 25, 2007 - February 16, 2010
CETERA WEALTH SERVICES, LLC
November 9, 2004 - May 29, 2007
EASTBROOK CAPITAL GROUP LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/8/2022)
(7/21/2022)
(7/21/2022)
(7/25/2022)
(7/21/2022)
(1/11/2024)
(7/21/2022)
(8/9/2022)
(7/21/2022)
(7/21/2022)
(7/21/2022)
(7/22/2022)
(7/21/2022)
(7/21/2022)
(7/21/2022)
(7/21/2022)
(7/26/2022)
(8/8/2022)
(7/21/2022)
Exams
FINRA
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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