DH
Dung T. Huynh
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CRD#: 5331200
DH
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dung Tien Huynh, who also goes by Bobby Huynh, Robert Huynh, Dung Tien Huynh, was a registered financial professional .
Dung is a previously registered financial professional and started their career in finance in 2007. Dung had worked at 9 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bobby Huynh | Robert Huynh | Dung Tien Huynh
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.
-1/2015 - Outside/W-2 Employment - Robert Huynh - Part Time employee ACTOR/MODEL - Alpharetta, GA 30005. -Life Coaching, Cost Segregation & Acting; Alpharetta, GA 30005; Start Date 10/2022; Cost segregation: national account executive started again on 1/24; Acting: actor, director, writer, etc.-started again on 1/23; 68 hours per month, 1-2 hours during trading hours. -IAR, Investment Advisor Representative with Arete Wealth Advisors, Start date, 07/2024; 160 hours per month during trading hours.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
July 25, 2024 - January 10, 2025
ARETE WEALTH ADVISORS, LLC
RIA
CRD#: 145488
Alpharetta, GA
Past
July 24, 2024 - January 10, 2025
ARETE WEALTH MANAGEMENT, LLC
BD
CRD#: 44856
CHICAGO, IL
Past
September 9, 2020 - September 16, 2022
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
RIA
CRD#: 116407
ATLANTA, GA
Past
August 26, 2020 - July 5, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
ATLANTA, GA
Past
August 26, 2020 - September 16, 2022
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
BD
CRD#: 130139
PLYMOUTH, MN
Past
October 20, 2015 - July 21, 2020
HARRISDIRECT LLC
RIA
CRD#: 42159
Alpharetta, GA
Past
October 20, 2015 - July 21, 2020
E*TRADE SECURITIES LLC
BD
CRD#: 29106
ALPHARETTA, GA
Past
February 17, 2010 - October 8, 2015
ARETE WEALTH ADVISORS, LLC
RIA
CRD#: 145488
BEVERLY HILLS, CA
Past
February 17, 2010 - October 8, 2015
ARETE WEALTH MANAGEMENT, LLC
BD
CRD#: 44856
WOODLAND HILLS, CA
Past
June 1, 2009 - March 8, 2010
MORGAN STANLEY
RIA
CRD#: 149777
CHICAGO, IL
Past
June 1, 2009 - March 8, 2010
MORGAN STANLEY
BD
CRD#: 149777
CHICAGO, IL
Past
August 1, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CHICAGO, IL
Past
July 4, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CHICAGO, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AW
ARETE WEALTH ADVISORS, LLC
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS LLC
CRD#: 145488 / SEC#: 801-69827
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)District of Columbia
Registered Investment Advisory firm - (1/12/2009 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2008 Terminated)Maryland
Registered Investment Advisory firm - (2/10/2009 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2009 Terminated)Virginia
Registered Investment Advisory firm - (1/12/2009 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AW
ARETE WEALTH ADVISORS, LLC
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS LLC
CRD#: 145488 / SEC#: 801-69827
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)District of Columbia
Registered Investment Advisory firm - (1/12/2009 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2008 Terminated)Maryland
Registered Investment Advisory firm - (2/10/2009 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2009 Terminated)Virginia
Registered Investment Advisory firm - (1/12/2009 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1115 W Fulton Market 3rd Floor, Chicago, IL 60607
Mailing Address
Phone number
(312) 940-3684
Established
Firm type
Fiscal year end
# of Employees
138
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,837 |
| AUM (Assets Under Management) | $ 3,152,167,506 |
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.
