Full text of ARETE WEALTH MANAGEMENT, LLC's X-17A-5 filed 2024-04-01 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ARETE **WEAL** TH **MANAGEMENT** LLC DECEMBER 31, 2023 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-S PART** Ill | 0MB APPROVAL | | |--------------------------|--| | 0MB Number. 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | SEC FILE NUMBER **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securit.ies Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2023** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** | | | | NAME oF FIRM: Arete Wealth Management, LLC | | |--|--|--|--------------------------------------------|--| |--|--|--|--------------------------------------------|--| TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer D Checlc here if respondent is also an OTC derivatives dealer D Major security-based swap participant AND ENDING **12/31/2023** 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.oom | | (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) | | | | | 688 | | | | | | | | | | | 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 by a statement of facts and cl rcumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Pe…Read the full text as markdown