Erin Janides
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.
Erin Janides, who also goes by Erin Healey, was a registered financial professional .
Erin is a previously registered financial professional and started their career in finance in 2011. Erin had worked at 5 firms and has passed the Series 66, 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 30, 2022 - September 22, 2025
ARETE WEALTH MANAGEMENT, LLC
August 16, 2019 - August 29, 2022
KALOS CAPITAL, INC.
August 22, 2017 - August 20, 2019
TRILOMA SECURITIES, LLC
February 25, 2014 - July 28, 2017
GUGGENHEIM INVESTMENTS
June 6, 2011 - July 28, 2017
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
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
Current 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 |
| CUCHARALE, CATHERINE | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 3054881 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| LEVINE, DAVID CHARLES | CHIEF EXECUTIVE OFFICER | |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| TROUSDALE, LAUREN NICOLE | FINANCIAL OPERATIONS PRINCIPAL | 5622407 |
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.
