Qi Yan
Professional summary
Qi Yan, CFP® is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Houston, Texas.
Qi is registered as a RR (Registered Representative) and started their career in finance in 2016. Qi has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Qi Yan's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2021
Experience
December 5, 2024 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 6901 Corporate Drive #128, Houston, TX 77036May 28, 2019 - December 31, 2024
PORTSMOUTH FINANCIAL SERVICES
November 16, 2016 - June 15, 2017
PORTSMOUTH FINANCIAL SERVICES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/5/2024)
Exams
FINRA
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 |
| CUCHARALE, CATHERINE | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 3054881 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| LEVINE, DAVID CHARLES | CHIEF EXECUTIVE OFFICER | |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| TROUSDALE, LAUREN NICOLE | FINANCIAL OPERATIONS PRINCIPAL | 5622407 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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