Nathalie Fernandez

ARETE WEALTH MANAGEMENT

Chicago, IL 60607

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CRD#: 6069372

Professional summary

Nathalie Fernandez is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.

Nathalie is registered as a RR (Registered Representative) and started their career in finance in 2012. Nathalie has worked at 5 firms and has passed the Series 66, Series 7TO, Series 3, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

One�Sotheby's�International�Realty, Realtor, Residential Real Estate Agent, 40 hours per month, 0 during trading hours. Start date: 12/2023

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nathalie Fernandez'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

August 19, 2025 - Present

ARETE WEALTH MANAGEMENT, LLC

Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607

CRD#: 44856

Chicago, IL

Past

July 26, 2023 - September 24, 2025

DIREWOLF WEALTH MANAGEMENT, LLC

RIA

CRD#: 169000

miami, FL

Past

May 1, 2014 - July 29, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MIAMI, FL

Past

April 30, 2014 - July 29, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MIAMI, FL

Past

November 14, 2013 - April 10, 2014

BULLTICK INVESTMENTS, LLC

CRD#: 139981

MIAMI, FL

Past

October 15, 2012 - November 13, 2013

TCT SECURITIES & DERIVATIVES, LLC

CRD#: 149679

MIAMI, FL

State Registrations and Notice Filings

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

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

Florida
(8/19/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/5/2013

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/10/2022

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 5/10/2019

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/12/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ARETE WEALTH MANAGEMENT, LLC

ARETE WEALTH MANAGEMENT, LLC | KEYSTONE SECURITIES, LLC. | KEYSTONE SECURITIES, LLC | KEYSTONE INVESTMENT ADVISORS, LLC

CRD#: 44856 / SEC#: , 8-50854

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1115 W Fulton Market 3rd Floor, Chicago, IL 60607

Mailing Address

1115 W Fulton Market 3rd Floor, Chicago, IL 60607

Phone number

(312) 940-3684

Established

Illinois since 01/20/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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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Nathalie Fernandez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nathalie Fernandez's CRS (Customer Relationship Summary).

Certified licenses

Experience

DIREWOLF WEALTH MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BULLTICK INVESTMENTS, LLC

TCT SECURITIES & DERIVATIVES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/5/2013

Series 7TO

Date: 10/10/2022

Series 3

Date: 5/10/2019

SIE

Date: 10/1/2018

Series 7

Date: 10/12/2012

FINRA

Current Firm

ARETE WEALTH MANAGEMENT, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ARETE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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