Peter Hsu
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.
Peter Hsu, who also goes by Peter Xuontien Hsu, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2008. Peter had worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2022 - September 13, 2022
ARETE WEALTH MANAGEMENT, LLC
September 17, 2021 - July 21, 2022
NATIONAL SECURITIES CORPORATION
November 26, 2013 - July 9, 2014
PHX FINANCIAL, INC.
July 19, 2011 - March 1, 2012
HOLD BROTHERS CAPITAL LLC
May 28, 2009 - July 27, 2009
TAFFERER TRADING, LLC
February 2, 2009 - May 27, 2009
NATIONAL SECURITIES CORPORATION
November 17, 2008 - January 20, 2009
SPARTAN CAPITAL SECURITIES, LLC
September 10, 2008 - November 19, 2008
JOHN THOMAS FINANCIAL
August 21, 2008 - August 28, 2008
JOHN THOMAS FINANCIAL
May 19, 2008 - June 26, 2008
E1 ASSET MANAGEMENT, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 9/16/2021
General Securities Representative ExaminationCurrent 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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Check for any disclosures as part of your thorough research when choosing an advisor.
