CRD #44856 · FINRA BrokerCheck + SEC IAPD

Arete Wealth Management, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Arete Wealth Management, LLC ranks #1,116 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #43 of 200 on the same disclosure sort used on the state browse page. Arete Wealth Management, LLC carries 6 BrokerCheck disclosures across 62 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
62
branch offices
6
disclosures
#1,116 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 44856 Arete Wealth Management, LLC

Arete Wealth Management, LLC · Grade B · 6 disc · 0.10/office · Mid-sized firm

  • CRD 44856
  • GRADE B
  • DISC 6
  • REG 2
  • ARB 3
  • CIV 1
  • BRANCH 62
  • PER-OFF 0.10
  • RANK #1,116 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: CWS Investments (0.10 disc/office)

CWS Investments0.10Level Four Financial, LLC0.10T. Rowe Price Investmen…0.10Arete Wealth Manage… (this)0.10
Disclosures per office among mid-sized firm peers (lower is cleaner)

Arete Wealth Management, LLC ranks #1,116 of 20,055 by disclosure count among graded broker-dealers; light load at 0.10 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

62 offices

FINRA: Medium firm

Total disclosures

6 events

On FINRA BrokerCheck

Regulatory events

2 actions

33% of all disclosures

Disclosures per office

0.10 per office

6 ÷ 62 offices

Arete Wealth Management, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 87% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 2
Arbitrations 3
Civil Events 1
Total 6

Counts for Arete Wealth Management, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 2 Arbitration 3 Civil 1

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Chicago, IL
CRD Number
44856

Lower disclosures per office

Arete Wealth Management, LLC in the heavier-disclosure third

Arete Wealth Management, LLC carries 6 BrokerCheck disclosures across 62 branch offices - a heavier-third raw book among graded firms (#1,116 of 20,055). Mix is 2 regulatory, 3 arbitration, and 1 civil (33% regulator share).

Arete Wealth Management, LLC runs 0.10 disclosures per branch office (cleaner than 87% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Arete Wealth Management, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Illinois cohort · 1.18× state average

Arete Wealth Management, LLC sits above the Illinois disclosure average

Arete Wealth Management, LLC reports 6 BrokerCheck disclosures, 1.18× the Illinois average of 5.1 across 200 graded firms with a principal-office state on file.

In Illinois, 99 firms carry Grade A and 8 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Illinois state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Arete Wealth Management, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Arete Wealth Management, LLC ranks #1,116 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #43 of 200 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Arete Wealth Management, LLC?
A grade of B reflects Arete Wealth Management, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 6 total disclosures across 62 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Arete Wealth Management, LLC have?
Arete Wealth Management, LLC has 6 total FINRA disclosures, including 2 regulatory events, 3 arbitrations, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Arete Wealth Management, LLC?
Arete Wealth Management, LLC operates 62 branch offices and is classified by FINRA as a medium firm, registered in IL (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Arete Wealth Management, LLC's disciplinary record?
You can verify Arete Wealth Management, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 44856. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Arete Wealth Management, LLC's 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Arete Wealth Management, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Arete Wealth Management, LLC carries 6 disclosures across 62 branch offices (about 0.10 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Arete Wealth Management, LLC, both outside IL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • CWS Investments (CA) - 0.10 disclosures/office, nearest mid-sized firm peer to Arete Wealth Management, LLC's 0.10
  • Level Four Financial, LLC (TX) - 0.10 disclosures/office, nearest mid-sized firm peer to Arete Wealth Management, LLC's 0.10
  • T. Rowe Price Investment Services, Inc. (MD) - 0.10 disclosures/office, nearest mid-sized firm peer to Arete Wealth Management, LLC's 0.10
  • Firms in IL - state roster that includes Arete Wealth Management, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Arete Wealth Management, LLC.
  • Reading BrokerCheck Reports - How Arete Wealth Management, LLC's 0.10 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Arete Wealth Management, LLC.
  • Compare firms - put Arete Wealth Management, LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.