SS
Shaun E. Stein
ARETE WEALTH MANAGEMENT
Jersey City, NJ 07302
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CRD#: 4873578
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Professional summary
Shaun Evan Stein is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Jersey City, New Jersey.
Shaun is registered as a RR (Registered Representative) and started their career in finance in 2004. Shaun has worked at 7 firms and has passed the Series 63, SIE and Series 7 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 Shaun Evan Stein'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
November 15, 2024 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 30 Montgomery Street Suite 1201, Jersey City, NJ 07302BD
CRD#: 44856
Jersey City, NJ
Past
July 22, 2022 - November 26, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
JERSEY CITY, NJ
Past
May 1, 2014 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
JERSEY CITY, NJ
Past
April 23, 2014 - April 23, 2014
WINDSOR STREET CAPITAL, LP
BD
CRD#: 34171
NEW YORK, NY
Past
May 8, 2012 - April 17, 2014
ALEXANDER CAPITAL, L.P.
BD
CRD#: 40077
RED BANK, NJ
Past
April 21, 2009 - May 7, 2012
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
RED BANK, NJ
Past
April 30, 2008 - May 14, 2009
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
STATEN ISLAND, NY
Past
November 4, 2004 - April 30, 2008
JOSEPH STEVENS & CO., INC.
BD
CRD#: 35459
OLD BRIDGE, 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(11/19/2024)
RR
Arizona(8/27/2025)
RR
Arkansas(12/20/2024)
RR
California(11/15/2024)
RR
Colorado(12/12/2024)
RR
Connecticut(11/15/2024)
RR
District of Columbia(12/5/2024)
RR
Florida(11/18/2024)
RR
Georgia(11/18/2024)
RR
Idaho(11/18/2024)
RR
Illinois(8/21/2025)
RR
Indiana(12/4/2024)
RR
Iowa(11/18/2024)
RR
Kansas(12/3/2024)
RR
Louisiana(12/13/2024)
RR
Maine(12/3/2024)
RR
Maryland(1/3/2025)
RR
Massachusetts(1/27/2025)
RR
Michigan(12/4/2024)
RR
Minnesota(12/3/2024)
RR
Mississippi(12/3/2024)
RR
Missouri(8/21/2025)
RR
Nebraska(11/27/2024)
RR
Nevada(12/3/2024)
RR
New Hampshire(12/4/2024)
RR
New Jersey(12/3/2024)
RR
New Mexico(12/4/2024)
RR
New York(12/5/2024)
RR
North Carolina(12/6/2024)
RR
North Dakota(12/9/2024)
RR
Ohio(11/15/2024)
RR
Oklahoma(12/3/2024)
RR
Pennsylvania(12/5/2024)
RR
South Carolina(12/4/2024)
RR
South Dakota(12/6/2024)
RR
Tennessee(12/3/2024)
RR
Texas(12/20/2024)
RR
Virginia(12/11/2024)
RR
Washington(12/3/2024)
RR
West Virginia(12/5/2024)
RR
Wisconsin(4/30/2025)
RR
Wyoming(11/15/2024)
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.
