Juan Felipe Matallana | Financial Professional | Jersey City, New Jersey | ARETE WEALTH ADVISORS, LLC

Professional summary

Juan Felipe Matallana is a registered financial advisor currently at ARETE WEALTH ADVISORS, LLC located in Jersey City, New Jersey and ARETE WEALTH MANAGEMENT, LLC located in Jersey City, New Jersey.

Juan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Juan has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) SEFT FC CORPORATION; NOT INVESTMENT- RELATED; 86 E. CENTRE ST. NUTLEY NJ, 07110; 501(c)(3) NON- PROFIT SEMI PROFESSIONAL SOCCER TEAM; BOARD MEMBER, COO; START DATE 6/9/2021; 10 HRS/MONTH DEVOTED - NONE DURING SECURITIES TRADING HOURS; BOARD MEMBER, COO - HELP ORGANIZE, PLAN TEAM PRACTICES, GAMES, EVENTS ETC... 2) HUDSONPOINT CAPITAL; INVESTMENT RELATED; 30 MONTGOMERY ST 12TH FLOOR JERSEY CITY NJ 07302; dba; START DATE 7/2021; 40 HRS/WEEK DEVOTED DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan Felipe Matallana'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

November 14, 2024 - Present

ARETE WEALTH ADVISORS, LLC

Office #1: 30 Montgomery Street Ste 970, Jersey City, NJ 07302

RIA

CRD#: 145488

Jersey City, NJ

Current

November 15, 2024 - Present

ARETE WEALTH MANAGEMENT, LLC

Office #1: 30 Montgomery Street Suite 1201, Jersey City, NJ 07302

BD

CRD#: 44856

Jersey City, NJ

Past

October 27, 2022 - November 26, 2024

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

JERSEY CITY, NJ

Past

July 22, 2022 - November 26, 2024

B. RILEY WEALTH MANAGEMENT

BD

CRD#: 2543

JERSEY CITY, NJ

Past

July 28, 2021 - July 22, 2022

NATIONAL SECURITIES CORPORATION

BD

CRD#: 7569

JERSEY CITY, NJ

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

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(11/15/2024)

RR

California
(11/15/2024)

RR

Florida
(1/8/2025)

RR

Georgia
(11/15/2024)

RR

Illinois
(11/15/2024)

RR

Indiana
(11/15/2024)

RR

Massachusetts
(11/15/2024)

RR

New Hampshire
(11/15/2024)

RR

New Jersey
(11/15/2024)

IAR

New Jersey
(11/15/2024)

RR

New York
(11/15/2024)

RR

North Carolina
(11/26/2024)

RR

Pennsylvania
(11/15/2024)

RR

South Carolina
(10/2/2025)

IAR

Texas
(11/14/2024)

RR

Texas
(11/15/2024)

RR

Virginia
(11/15/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 8/23/2021

Uniform Combined State Law Examination

General Industry/Product Exam

RR

Series 7TO

Date: 7/28/2021

General Securities Representative Examination

General Industry/Product Exam

RR

SIE

Date: 6/21/2021

Securities Industry Essentials Examination

SRO Registrations

RR

FINRA

Current Firm

AW

ARETE WEALTH ADVISORS, 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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ARETE WEALTH ADV2A - 04.01.2025 (4/1/2025)

ARETE WEALTH WRAP FEE BROCHURE - 03.31.2025 (3/28/2025)

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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Juan F. Matallana

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan Felipe Matallana's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARETE WEALTH MANAGEMENT, LLC

B. RILEY WEALTH ADVISORS, INC.

B. RILEY WEALTH MANAGEMENT

NATIONAL SECURITIES CORPORATION

Primary Firm SEC Registration

ARETE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/23/2021

Series 7TO

Date: 7/28/2021

SIE

Date: 6/21/2021

FINRA

Current Firm

ARETE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARETE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors