DS
Daniel C. Southworth
ARETE WEALTH ADVISORS
Ponte Vedra Beach, FL 32082
Some features on this profile are disabled
CRD#: 5939234
DS
Professional summary
Daniel Charles Southworth, who also goes by Daniel C Southworth Jr, Daniel Charles Southworth, is a registered financial advisor currently at ARETE WEALTH ADVISORS, LLC located in Ponte Vedra Beach, Florida and ARETE WEALTH MANAGEMENT, LLC located in Ponte Vedra Beach, Florida.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Daniel has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel C Southworth Jr | Daniel Charles Southworth
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.
1) APEX PINNACLE INVESTMENTS AND PLANNING; INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; Director of Investment Operations; 07/25/2015; 160 HRS/MONTH; DBA. THROUGH APEX I ACT AS A FINANCIAL ADVISOR. I RECOMMEND INVESTMENT PRODUCTS AND GIVE INVESTMENT ADVICE. I AM THE OPERATOR OF THIS ENTITY. 2) PONTE VEDRA INSURANCE SERVICES, LLC; NOT INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; INSURANCE SALES; CONTRACTOR; START DATE = 02/2017; 100 HRS/MONTH; NOT INVESTMENT RELATED. 3) MCKINLEY AND ASSOCIATES: SAME ADDRESS AS REGISTERED BRANCH; ESTATE PLANNING; CONTRACTOR; START DATE = 02/2015, 100 HRS/MTH; NOT INVESTMENT RELATED. 4) McKinley Wealth: SAME ADDRESS AS REGISTERED BRANCH;Director of Investments; CONTRACTOR; START DATE = 02/2015, 100 HRS/MTH; INVESTMENT RELATED. 5) YOUTH PASTOR: ATLANTIC BEACH ASSEMBLY OF GOD; MINISTRY; NOT INVESTMENT RELATED; START DATE = 03/2019; 25 HRS/MTH.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Charles Southworth's 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®
NoneExperience
Current
July 30, 2020 - Present
ARETE WEALTH ADVISORS, LLC
Office #1: 814 A1a Suite 208, Ponte Vedra Beach, FL 32082RIA
CRD#: 145488
Ponte Vedra Beach, FL
Current
May 15, 2020 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 814 A1a Suite 208, Ponte Vedra Beach, FL 32082BD
CRD#: 44856
Ponte Vedra Beach, FL
Past
September 20, 2019 - May 19, 2020
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
PONTE VEDRA, FL
Past
July 22, 2015 - May 19, 2020
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
PONTE VEDRA, FL
Past
June 24, 2015 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
PONTE VEDRA, FL
Past
August 30, 2011 - May 7, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
JACKSONVILLE, FL
Past
August 2, 2011 - May 7, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
JACKSONVILLE, FL
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
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS 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)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
IAR
California(4/8/2022)
RR
California(12/8/2023)
RR
Florida(5/15/2020)
IAR
Florida(7/30/2020)
RR
Georgia(5/15/2020)
IAR
Georgia(11/12/2020)
RR
Idaho(5/15/2020)
RR
Illinois(8/2/2023)
RR
Iowa(9/9/2025)
RR
Maryland(5/15/2020)
IAR
Maryland(10/25/2021)
RR
Massachusetts(5/15/2020)
IAR
Massachusetts(10/28/2020)
RR
Montana(8/26/2025)
RR
New Hampshire(9/26/2022)
RR
New York(6/24/2025)
RR
South Carolina(1/24/2023)
RR
Virginia(5/20/2020)
IAR
Virginia(12/15/2021)
RR
Washington(10/12/2022)
IAR
Washington(10/12/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ARETE WEALTH ADVISORS, LLC
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS 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)Upgrade to AdvisorCheck Premium
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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)
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.
Company Information
ARETE WEALTH ADVISORS, LLC
CRD#: 145488Ponte Vedra Beach, FL 32082TRUST BUT VERIFY
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