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David Carl Hock

Investment Adviser Representative at ARETE WEALTH ADVISORS, LLC

Lake Oswego, ORCRD #2246268Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
33 yrs
States Registered
5 states
Exams Passed
9

Registrations & licenses

Registration type
Dual-registered
Registered in 5 states
CaliforniaColoradoIllinoisOregonWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 7/26/1994
Series 63
Uniform Securities Agent State Law Examination
Passed 5/11/1993
Series 79
Investment Banking Registered Representative Examination
Passed 1/2/2023
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 3/24/1993
Series 4
Registered Options Principal Examination
Passed 8/11/1999
Series 27
Financial and Operations Principal Examination
Passed 8/14/1996
Series 24
General Securities Principal Examination
Passed 4/19/1993

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$0 - $249,0003.00%
$250,000 - $749,9992.50%
$750,000 - $1,499,9992.00%
$1,500,000 - $4,999,9991.75%
$5,000,000 and over1.50%
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Arete Wealth Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ARETE WEALTH ADVISORS, LLCCurrent
6/7/2010Lake Oswego, OR
ARETE WEALTH MANAGEMENT, LLCCurrent
11/17/2008Lake Oswego, OR
CENTER STREET ADVISORS, INC.
2/17/202211/16/2023Lake Oswego, OR
ARETE WEALTH ADVISORS, LLC
11/17/200812/15/2009Chicago, IL
PRIVATE CONSULTING GROUP, INC.
10/23/20019/15/2008Englewood, CO

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. David Carl Hock has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

David Carl Hock - Financial Advisor in Lake Oswego, OR | AdvisorFinder