Arete Wealth Management
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About
Arete Wealth Management, founded in 1997, is a distinguished broker-dealer located in Chicago, IL. As a member of FINRA, SIPC and NFA, the company is helmed by a team of professionals with backgrounds in enforcement and legal fields, including complex financial crimes and government corruption. Their experience lends to the firm's robust compliance and adherence to legal standards, ensuring clients receive a service that is both trustworthy and reliable.
Highlights
28 years in business
Serves Chicago , IL
Specialties
Service type
Consultation / advice, Litigation / representation
Number of employees
0 - 10 employees, 11 - 50 employees, 51 - 100 employees, 101 - 500 employees, 500 - 1,000 employees
Industry type
Admiralty and maritime, Advertising / Communications and media, Agriculture, Aviation, Banking, Energy and utilities, Entertainment, Gaming, Health care, Insurance, Internet, Oil and gas, Life sciences and biotechnology, Telecommunications, Transportation, Other industries
Work type
Agreements / Contracts, Mergers and acquisitions, Executive compensation, Tax planning, New business incorporation filing, Financing, Franchising / Licensing
Location and hours
Arete Wealth Management
1101 West Lake Street
Chicago, IL 60607
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Resume
Work Experience
Chief Compliance Officer and General Counsel
Arete Wealth Management, LLC
2013 - Present
Department of Enforcement, Senior Regional Counsel
Finra (Financial Industry Regulatory Authority)
2003 - 2012
Assistant State's Attorney
Cook County State Attorney's Office
1998 - 2003
Education
Chicago-Kent College of Law Illinois Institute of Technology
2007
Loyola University Chicago
1997
Oberlin College
1992
Chicago-Kent College of Law Illinois Institute of Technology
Financial Services Law
2007
Loyola University Chicago
Law
1997
Oberlin College
English
1992
Associations & Affiliations
Korean Bar Association
Member
Speaking Engagements
BD Week
New FINRA Suitability Rule
2012
BD Week
Detecting and Preventing Churning
2012
Chicago Bar Association
New FINRA Rules
2011
Services offered
Corporate Law Attorney