RS
Richard C. Sands
ARETE WEALTH ADVISORS
Arlington, TX
Some features on this profile are disabled
CRD#: 6627410
RS
Professional summary
Richard Clinton Sands, who also goes by Richard C Sands, Richard Clinton Sands, Richard Sands, is a registered financial advisor currently at ARETE WEALTH ADVISORS, LLC located in Arlington, Texas and ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Richard has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard C Sands | Richard Clinton Sands | Richard Sands
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.
Pinnacle Wealth Strategies, dba, Sandy, UT 84070. Financial Planning and guidance service. Start date: 05/2025. 10 hours per month, 1 hour during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Clinton Sands'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
August 26, 2025 - Present
ARETE WEALTH ADVISORS, LLC
RIA
CRD#: 145488
Arlington, TX
Current
July 3, 2025 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607BD
CRD#: 44856
Chicago, IL
Past
August 17, 2022 - June 30, 2010
CITI PRIVATE ALTERNATIVES, LLC
RIA
CRD#: 153777
Dallas, TX
Past
August 17, 2022 - May 27, 2025
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
DALLAS, TX
Past
August 17, 2022 - May 27, 2025
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
DALLAS, TX
Past
August 17, 2022 - May 27, 2025
CITI PRIVATE ALTERNATIVES, LLC
BD
CRD#: 153777
Dallas, TX
Past
March 7, 2022 - August 4, 2022
FROST INVESTMENT SERVICES
RIA
CRD#: 286129
Dallas, TX
Past
March 7, 2022 - August 4, 2022
FROST BROKERAGE SERVICES, INC.
BD
CRD#: 17465
SAN ANTONIO, TX
Past
April 27, 2018 - December 31, 2018
CITI PRIVATE ALTERNATIVES, LLC
RIA
CRD#: 153777
Dallas, TX
Past
April 27, 2018 - February 25, 2022
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
DALLAS, TX
Past
April 27, 2018 - February 25, 2022
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
DALLAS, TX
Past
April 27, 2018 - February 25, 2022
CITI PRIVATE ALTERNATIVES, LLC
BD
CRD#: 153777
Dallas, TX
Past
June 2, 2016 - March 20, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PLANO, TX
Past
April 29, 2016 - March 20, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PLANO, TX
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
RR
Alabama(7/3/2025)
RR
Alaska(7/3/2025)
RR
Arizona(7/3/2025)
RR
Arkansas(7/3/2025)
RR
California(7/3/2025)
RR
Colorado(7/3/2025)
RR
Connecticut(7/3/2025)
RR
Delaware(7/3/2025)
RR
District of Columbia(7/3/2025)
RR
Florida(7/3/2025)
RR
Georgia(7/3/2025)
RR
Hawaii(7/3/2025)
RR
Idaho(7/3/2025)
RR
Illinois(7/3/2025)
RR
Indiana(7/3/2025)
RR
Iowa(7/3/2025)
RR
Kansas(7/3/2025)
RR
Kentucky(7/3/2025)
RR
Louisiana(7/3/2025)
RR
Maine(7/3/2025)
RR
Maryland(7/3/2025)
RR
Massachusetts(7/3/2025)
RR
Michigan(7/3/2025)
RR
Minnesota(7/3/2025)
RR
Mississippi(7/3/2025)
RR
Missouri(7/3/2025)
RR
Montana(7/3/2025)
RR
Nebraska(7/3/2025)
RR
Nevada(7/3/2025)
RR
New Hampshire(7/3/2025)
RR
New Jersey(7/3/2025)
RR
New Mexico(7/3/2025)
RR
New York(7/3/2025)
RR
North Carolina(7/8/2025)
RR
North Dakota(7/3/2025)
RR
Ohio(7/3/2025)
RR
Oklahoma(7/3/2025)
RR
Oregon(7/3/2025)
RR
Pennsylvania(7/3/2025)
RR
Rhode Island(7/3/2025)
RR
South Carolina(7/3/2025)
RR
South Dakota(7/3/2025)
RR
Tennessee(7/3/2025)
RR
Texas(7/3/2025)
IAR
Texas(8/26/2025)
RR
Utah(7/3/2025)
RR
Vermont(7/3/2025)
RR
Virginia(7/3/2025)
RR
Washington(7/3/2025)
RR
West Virginia(7/3/2025)
RR
Wisconsin(7/3/2025)
RR
Wyoming(7/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
