Vincent P. Sherry

ARETE WEALTH MANAGEMENT

San Rafael, CA 94903

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CRD#: 732594

Professional summary

Vincent Patrick Sherry, who also goes by VIncent Patrick Sherry, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in San Rafael, California.

Vincent is registered as a RR (Registered Representative) and started their career in finance in 1981. Vincent has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Vincent Patrick Sherry

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vincent Patrick Sherry'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

December 10, 2024 - Present

ARETE WEALTH MANAGEMENT, LLC

Office #1: 100 Smith Ranch Road Suite 110, San Rafael, CA 94903

CRD#: 44856

San Rafael, CA

Past

January 10, 2014 - December 31, 2024

PORTSMOUTH FINANCIAL SERVICES

CRD#: 13980

SAN FRANCISCO, CA

Past

August 22, 2002 - March 19, 2014

ROBERTS & RYAN, INC.

CRD#: 19456

SAN FRANCISCO, CA

Past

May 24, 1991 - April 18, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 3, 1984 - June 13, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

June 23, 1981 - March 30, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

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

California
(12/11/2024)

Exams

State Security Law Exam

Series 63

Date: 7/17/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1981

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

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.

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Firm Stability Insights

Vincent P. Sherry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vincent Patrick Sherry's CRS (Customer Relationship Summary).

Certified licenses

Experience

PORTSMOUTH FINANCIAL SERVICES

ROBERTS & RYAN, INC.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/17/1981

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1981

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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