JD
John H. Dunnigan
ARETE WEALTH MANAGEMENT
Chicago, IL 60607
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CRD#: 5177620
JD
Professional summary
John Henry Dunnigan, who also goes by John H Dunnigan Mr., John H Dunnigan, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.
John is registered as a RR (Registered Representative) and started their career in finance in 2006. John has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John H Dunnigan Mr. | John H Dunnigan
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 John Henry Dunnigan'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 22, 2024 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607BD
CRD#: 44856
Chicago, IL
Past
September 28, 2021 - April 12, 2024
LAZARD ASSET MANAGEMENT SECURITIES LLC
BD
CRD#: 129119
NEW YORK, NY
Past
September 28, 2015 - October 20, 2021
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
March 24, 2011 - August 21, 2015
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEW YORK, NY
Past
June 10, 2008 - February 25, 2011
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
July 26, 2006 - June 13, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
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(4/22/2024)
RR
Alaska(4/22/2024)
RR
Arizona(4/22/2024)
RR
Arkansas(4/22/2024)
RR
California(4/22/2024)
RR
Colorado(4/22/2024)
RR
Connecticut(4/22/2024)
RR
Delaware(4/22/2024)
RR
District of Columbia(4/22/2024)
RR
Florida(4/22/2024)
RR
Georgia(4/22/2024)
RR
Hawaii(4/22/2024)
RR
Idaho(4/22/2024)
RR
Illinois(4/22/2024)
RR
Indiana(4/22/2024)
RR
Iowa(4/22/2024)
RR
Kansas(4/22/2024)
RR
Kentucky(4/22/2024)
RR
Louisiana(4/22/2024)
RR
Maine(4/22/2024)
RR
Maryland(4/22/2024)
RR
Massachusetts(4/22/2024)
RR
Michigan(4/22/2024)
RR
Minnesota(4/22/2024)
RR
Mississippi(4/22/2024)
RR
Missouri(4/22/2024)
RR
Montana(4/22/2024)
RR
Nebraska(4/22/2024)
RR
Nevada(4/22/2024)
RR
New Hampshire(4/22/2024)
RR
New Jersey(4/22/2024)
RR
New Mexico(4/22/2024)
RR
New York(4/22/2024)
RR
North Carolina(4/22/2024)
RR
North Dakota(4/22/2024)
RR
Ohio(4/23/2024)
RR
Oklahoma(4/22/2024)
RR
Oregon(4/22/2024)
RR
Pennsylvania(4/22/2024)
RR
Rhode Island(4/22/2024)
RR
South Carolina(4/22/2024)
RR
South Dakota(4/22/2024)
RR
Tennessee(4/22/2024)
RR
Texas(4/22/2024)
RR
Utah(4/22/2024)
RR
Vermont(4/22/2024)
RR
Virginia(4/22/2024)
RR
Washington(4/22/2024)
RR
West Virginia(4/22/2024)
RR
Wisconsin(4/22/2024)
RR
Wyoming(4/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
