Dauz H. Wenner
Professional summary
Dauz Harrison Wenner, who also goes by Dauz Harrison Wenner, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.
Dauz is registered as a RR (Registered Representative) and started their career in finance in 2014. Dauz has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dauz Harrison Wenner's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 14, 2023 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607January 8, 2018 - June 27, 2019
CAIS CAPITAL LLC
January 2, 2015 - December 21, 2017
FIRST TRUST ADVISORS LP
September 30, 2014 - December 21, 2017
FIRST TRUST PORTFOLIOS L.P.
February 27, 2014 - September 22, 2014
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
January 4, 2014 - March 6, 2014
UBS FINANCIAL SERVICES 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
(2/3/2025)
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Exams
Series 7TO
Date: 7/14/2023
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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