David Hua

Professional summary

David Hua, who also goes by David Hall, is a registered financial advisor currently at ARETE WEALTH ADVISORS, LLC located in Bee Cave, Texas and ARETE WEALTH MANAGEMENT, LLC located in New York, New York.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. David has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Hall

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.

SOM BO LLC: RESTAURANT INVESTOR ONLY NO ROLE. FINCADIA LLC: DBA; REGISTERED REP/ADVISOR; NY, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. FINCADIA WEALTH MANAGEMENT LLC: DBA; REGISTERED REP/ADVISOR; NY, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. FINCADIA CAPITAL PARTNERS LLC: DBA; REGISTERED REP/ADVISOR; NY, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Hua'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

January 3, 2024 - Present

ARETE WEALTH ADVISORS, LLC

RIA

CRD#: 145488

Bee Cave, TX

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

April 22, 2010 - July 21, 2022

NATIONAL SECURITIES CORPORATION

BD

CRD#: 7569

NEW YORK, NY

Past

August 21, 2009 - April 23, 2010

FIRST MIDWEST SECURITIES, INC.

BD

CRD#: 21786

NEW YORK, NY

Past

August 8, 2008 - August 18, 2009

CHICAGO INVESTMENT GROUP, LLC

BD

CRD#: 11853

NEW YORK, NY

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

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alaska
(8/8/2022)

RR

California
(7/20/2022)

RR

Colorado
(7/20/2022)

RR

Connecticut
(7/20/2022)

RR

Florida
(7/20/2022)

RR

Georgia
(7/20/2022)

RR

Illinois
(8/9/2022)

RR

Indiana
(7/20/2022)

RR

Iowa
(7/20/2022)

RR

Kansas
(7/20/2022)

RR

Maryland
(7/20/2022)

RR

Massachusetts
(8/17/2022)

RR

Michigan
(7/20/2022)

RR

Nevada
(7/20/2022)

RR

New Jersey
(7/20/2022)

RR

New York
(7/20/2022)

RR

North Carolina
(7/22/2022)

RR

North Dakota
(7/20/2022)

RR

Ohio
(7/20/2022)

RR

Oklahoma
(7/20/2022)

RR

Pennsylvania
(7/20/2022)

RR

South Carolina
(7/20/2022)

RR

Texas
(7/20/2022)

IAR

Texas
(1/3/2024)

RR

Vermont
(7/20/2022)

RR

Virginia
(7/20/2022)

RR

Washington
(8/8/2022)

RR

Wisconsin
(7/20/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/29/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 8/18/2008

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: 8/6/2008

General Securities Representative Examination

SRO Registrations

RR

FINRA

Current Firm

AW

ARETE WEALTH ADVISORS, 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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ARETE WEALTH ADV2A - 04.01.2025 (4/1/2025)

ARETE WEALTH WRAP FEE BROCHURE - 03.31.2025 (3/28/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Hua's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARETE WEALTH MANAGEMENT, LLC

NATIONAL SECURITIES CORPORATION

FIRST MIDWEST SECURITIES, INC.

CHICAGO INVESTMENT GROUP, LLC

Primary Firm SEC Registration

ARETE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/29/2022

Series 63

Date: 8/18/2008

SIE

Date: 10/1/2018

Series 7

Date: 8/6/2008

FINRA

Current Firm

ARETE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARETE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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