Full text of ARETE WEALTH MANAGEMENT, LLC's X-17A-5 filed 2022-03-31 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **YEAR ENDED DECEMBER 31, 2021** **This report is deemed confidential in accordance with Rule 17A-5(e)(3) under the Securities Exchange Act of 1934** {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** **ANNUAL REPORTS FORM X-17A-5 PART** Ill | 0MB APPROVAL | | | |---------------------------|--|--| | 0MB Number: 3235-0123 | | | | Expires: Oct. 31, 2023 | | | | Estimated average burden | | | | hours per response:<br>12 | | | | | | | | SEC FILE NUMBER | | | | 8-53489 | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | FACING PAGE | | | |---------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------|--------------------------------------------|----------------------------| | | | | AND ENDING 12/31/2021 | | | FILING FOR THE PERIOD BEGINNING O 1/01/2021 | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: Arete Wealth Management, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>C!J Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 1115 W Fulton Market, 3rd Floor | | | | | | | | (No. and Street) | | | | Chicago | | IL | | 60607 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | David C Hock | 312-940-3684 | | | David.Hock@AreteWealth.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Marcum, LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | Nine Parkway North, Suite 200 Deerfield | | | IL | 60015 | | (Address) | (City) | | (State) | (Zip Code) | | 10/16/2003 | | | 688 | | | rte<br>of Reglstcatloo with PCAOB II• applicable) | | | (PCAOB Reglmatloo N,mbec, If applicable) I | | | | | FOR OFFICIAL USE ONLY | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported…Read the full text as markdown