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SR

Steven E. Rumstein

ARETE WEALTH MANAGEMENT
Jersey City, NJ 07302
Some features on this profile are disabled
CRD#: 7862093
SR

Professional summary

Steven Elliot Rumstein, who also goes by Steven Elliot Rumstein, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Jersey City, New Jersey.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2024. Steven has worked at 1 firm and has passed the Series 63, Series 82TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven Elliot Rumstein

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 Steven Elliot Rumstein'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

July 1, 2025 - Present

ARETE WEALTH MANAGEMENT, LLC

Office #1: 30 Montgomery Street Suite 1201, Jersey City, NJ 07302
BD
CRD#: 44856
Jersey City, NJ
Past

March 21, 2024 - March 19, 2025

ARETE WEALTH MANAGEMENT, LLC

BD
CRD#: 44856
CHICAGO, IL

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
(1/2/2026)
RR
California
(1/2/2026)
RR
Colorado
(1/2/2026)
RR
Connecticut
(7/1/2025)
RR
Georgia
(1/2/2026)
RR
Kansas
(1/2/2026)
RR
New Jersey
(7/1/2025)
RR
New York
(7/1/2025)
RR
North Carolina
(1/6/2026)
RR
Wisconsin
(2/17/2026)
RR
Wyoming
(1/2/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 2/21/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 3/21/2024
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 1/10/2024
Securities Industry Essentials Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARETE WEALTH INCDIRECT OWNER
BULLA, CHRISTIAN ALEXANDERMUNICIPAL SECURITIES PRINCIPAL7067640
CUCHARALE, CATHERINECHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER3054881
HOCK, DAVID CARLCHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP)2246268
LEVINE, DAVID CHARLESCHIEF EXECUTIVE OFFICER
RAYNER, MICAH HARDINGREGISTERED OPTIONS PRINCIPAL6252596
TROUSDALE, LAUREN NICOLEFINANCIAL OPERATIONS PRINCIPAL5622407

Disclosures

Regulatory Event2
Civil Event1
Arbitration3

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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Company Information

ARETE WEALTH MANAGEMENT, LLC

CRD#: 44856Jersey City, NJ 07302

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