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KA

Kunal Arora

ARETE WEALTH MANAGEMENT
New York, NY 10004
Some features on this profile are disabled
CRD#: 5280293
KA

Professional summary

Kunal Arora, who also goes by Ken Kunal Arora, Kenneth Arora, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in New York, New York.

Kunal is registered as a RR (Registered Representative) and started their career in finance in 2007. Kunal has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ken Kunal Arora | Kenneth Arora

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 Kunal Arora'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

July 20, 2022 - Present

ARETE WEALTH MANAGEMENT, LLC

Office #1: 5 Hanover Sq. 12th Floor, New York, NY 10004
BD
CRD#: 44856
New York, NY
Past

July 16, 2007 - July 21, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

June 4, 2007 - July 20, 2007

COMMERCE ONE FINANCIAL INC.

BD
CRD#: 100340
SYOSSET, NY

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
Arizona
(7/20/2022)
RR
California
(7/20/2022)
RR
Connecticut
(7/20/2022)
RR
Delaware
(7/26/2022)
RR
Florida
(7/20/2022)
RR
Georgia
(7/20/2022)
RR
Illinois
(7/20/2022)
RR
Indiana
(7/20/2022)
RR
Kansas
(7/20/2022)
RR
Maryland
(7/20/2022)
RR
Michigan
(7/20/2022)
RR
Mississippi
(7/20/2022)
RR
New Jersey
(7/20/2022)
RR
New York
(7/20/2022)
RR
North Carolina
(7/22/2022)
RR
Ohio
(7/20/2022)
RR
Pennsylvania
(7/20/2022)
RR
Rhode Island
(7/20/2022)
RR
Texas
(7/20/2022)
RR
Virginia
(7/20/2022)
RR
Washington
(7/22/2022)
RR
Wisconsin
(7/20/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/26/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/1/2007
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARETE WEALTH INCDIRECT OWNER
BULLA, CHRISTIAN ALEXANDERMUNICIPAL SECURITIES PRINCIPAL7067640
CHUNG, UNBOCHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER6208569
HOCK, DAVID CARLCHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP)2246268
RAYNER, MICAH HARDINGREGISTERED OPTIONS PRINCIPAL6252596
ROGERS, JOSHUA DEANCHIEF EXECUTIVE OFFICER3163818

Disclosures

Regulatory Event2
Civil Event1
Arbitration3

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.

Company Information

ARETE WEALTH MANAGEMENT, LLC

CRD#: 44856New York, NY 10004

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