David J. Santoriello
Professional summary
David John Santoriello is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.
David is registered as a RR (Registered Representative) and started their career in finance in 2010. David has worked at 2 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David John Santoriello's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 10, 2023 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607January 5, 2015 - February 4, 2021
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
August 27, 2010 - December 6, 2011
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
(7/31/2023)
Exams
Series 7TO
Date: 4/8/2023
General Securities Representative ExaminationFINRA
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 |
| 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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