Unclaimed Profile

David Carl Hock

ARETE WEALTH ADVISORS, LLC·CHICAGO, Illinois

SIE, Series 4, Series 7, Series 24, Series 27, Series 63, Series 65, Series 79TO, Series 99TO24 years registeredARETE WEALTH ADVISORS, LLC

1115 W FULTON MARKET, CHICAGO, IL 60607CRD# 2246268Firm CRD# 145488

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David Carl Hock · CHICAGO, IL

Registration

CRD #2246268 · ARETE WEALTH ADVISORS, LLC · 24 years registered

Brand Profile

Not yet started

Career History

ARETE WEALTH ADVISORS, LLC

Jun 2010 – present

ARETE WEALTH MANAGEMENT, LLC

Nov 2008 – present

CENTER STREET ADVISORS, INC.

Feb 2022 – Nov 2023

Lake Oswego, OR

ARETE WEALTH ADVISORS, LLC

Nov 2008 – Dec 2009

CHICAGO, IL

PRIVATE CONSULTING GROUP, INC.

Oct 2001 – Sep 2008

ENGLEWOOD, CO

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 27

Series 63

Series 65

Series 79TO

Series 99TO

Registration record

First registered · October 23, 2001

Years registered · 24

Disclosure History

2008Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

ARETE WEALTH ADVISORS, LLC

CRD 145488 · SEC 801-69827

AUM

$2.7B

Regulatory assets under management

Employees

130

5,251 client accounts

Services offered by ARETE WEALTH ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ARETE WEALTH ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does David Carl Hock offer?

David Carl Hock specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in CHICAGO, Illinois for a consultation.

What are David Carl Hock's credentials?

David Carl Hock is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David Carl Hock located?

David Carl Hock is based in CHICAGO, Illinois, working with ARETE WEALTH ADVISORS, LLC. Their office serves clients in the CHICAGO metropolitan area and surrounding communities.

How does David Carl Hock charge for services?

David Carl Hock's firm is compensated through percentage of aum, hourly charges, subscription fees, performance-based fees, other: sharing in underwriting fees from an affiliated broker-dealer. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ARETE WEALTH ADVISORS, LLC?

ARETE WEALTH ADVISORS, LLC has approximately 130 employees and manages $2.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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