CF
Colton E. Fergus
ARETE WEALTH MANAGEMENT
Chicago, IL 60607
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CRD#: 6834328
CF
Professional summary
Colton Evan Fergus, who also goes by Colton E Fergus, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.
Colton is registered as a RR (Registered Representative) and started their career in finance in 2017. Colton has worked at 4 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Colton E Fergus
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Colton Evan Fergus'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
April 3, 2023 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607BD
CRD#: 44856
Chicago, IL
Past
March 20, 2019 - April 15, 2021
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
May 15, 2018 - April 1, 2019
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
September 11, 2017 - May 15, 2018
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
MARLTON, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(9/18/2023)
RR
Alaska(9/20/2023)
RR
Arizona(9/19/2023)
RR
Arkansas(9/28/2023)
RR
California(7/31/2023)
RR
Colorado(1/26/2024)
RR
Connecticut(7/31/2023)
RR
Delaware(9/25/2023)
RR
District of Columbia(8/10/2023)
RR
Florida(7/31/2023)
RR
Georgia(8/3/2023)
RR
Hawaii(9/19/2023)
RR
Idaho(8/2/2023)
RR
Illinois(12/18/2024)
RR
Indiana(9/18/2023)
RR
Iowa(7/31/2023)
RR
Kansas(9/14/2023)
RR
Kentucky(9/15/2023)
RR
Louisiana(10/3/2023)
RR
Maine(8/1/2023)
RR
Maryland(10/4/2023)
RR
Massachusetts(8/1/2023)
RR
Michigan(9/15/2023)
RR
Minnesota(9/15/2023)
RR
Mississippi(9/15/2023)
RR
Missouri(7/31/2023)
RR
Montana(9/25/2023)
RR
Nebraska(7/31/2023)
RR
Nevada(10/5/2023)
RR
New Hampshire(11/17/2023)
RR
New Jersey(9/14/2023)
RR
New Mexico(9/14/2023)
RR
New York(4/4/2023)
RR
North Carolina(7/31/2023)
RR
North Dakota(7/24/2025)
RR
Ohio(7/31/2023)
RR
Oklahoma(9/19/2023)
RR
Oregon(8/1/2023)
RR
Pennsylvania(8/7/2023)
RR
Rhode Island(8/2/2023)
RR
South Carolina(9/19/2023)
RR
South Dakota(9/18/2023)
RR
Tennessee(8/1/2023)
RR
Texas(7/30/2023)
RR
Utah(7/31/2023)
RR
Vermont(9/14/2023)
RR
Virginia(9/19/2023)
RR
Washington(9/19/2023)
RR
West Virginia(9/21/2023)
RR
Wisconsin(8/2/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/10/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 11/10/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ARETE WEALTH MANAGEMENT, LLC
ARETE WEALTH MANAGEMENT, LLC | KEYSTONE SECURITIES, LLC. | KEYSTONE SECURITIES, LLC | KEYSTONE INVESTMENT ADVISORS, LLC
CRD#: 44856 / SEC#: , 8-50854
BD
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)
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
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.
