Full text of ARETE WEALTH MANAGEMENT, LLC's X-17A-5 filed 2021-03-17 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ YEAR ENDED DECEMBER 31, 2020 This report is deemed confidential in accordance with Rule 17A-5(e)(3) under the Securities Exchange Act of 1934 {1}------------------------------------------------ U ITED TATE EC RITIE DE HA1 GECOMMISSIO Washington, D.C. 20549 0MB APPROVAL 0 MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours oer resoonse ... . .. 12.00 SEC FILE NUMBER S-53489 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** FACI C PAGE Information Required of Brokers a nd Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 a nd Rule 17a-5 T hereunder | REPOR I FOR l llf~l'ERIOD BEGIN I G | /01/2020<br>01 | ---- | AND E DI G 12/31/2020 | | |----------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------|-------------------|--------------------------------|--| | | MM DDtYY | | MM/DD/YY | | | | A. REGI TRANT IDE T | lFICATIO | | | | AME 0 1- BROK LR-DEALER: A rete Wealth Management, LLC<br>ADDRESS 01- PRI Cf PAL PLACE OF BU I E. ' : (Do not use P.O. Bo: | | OFFICIAL USE ONLY | | | | | | o.) | FIRM I.D. NO. | | | 1115 W Fulton Market, 3rd Floor | | | | | | | (No and tree!) | | | | | Chicago | IL | | 60607 | | | (CII)) | (SlalC) | | (lip Code) | | | AME AN[) I ELEPI 10<br>E<br>David Hock 312-940·3684 | ro co I ACT I<br>UM BER OF- Pl R. 0 | REGA RD TO l 111 | REPOR r | | | | | | (Arca Code - Telephone Number) | | | | 8. ACCO | | | | | | I DcPE DI:. T PUBLIC ACCOU TA T ,1hosc opinion is contained in this Report• | | | | | Marcum, LLP | | | | | | | if 111dn·1dual. swte last. first. middle name<br>( amc | ) | | | | Nine Parkway N | orth, Suite 200 Deerfield | 60015 | | | | (Address) | | ( 131C) | (lrp Code) | | | CHECK O E: | | | | | | | | | | | | ccrti li cd Pu blic Accountant<br>Public Accountant | | | | | | | | | | | | B | Accountant not resident in United ' tatcs or an) of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requiremell/ that the w11111al report be core red by the opinion of an independent public acco11111a111 11111st he supported by a statement of facts and circ11111sta11ces relied* <sup>0</sup> <sup>11</sup>*us the basis for the exemption See Section 2./0. I 7a-5(e)(2)* SEC 1410 (11-05) **Potential persons who are to respond to the collecti…Read the full text as markdown