AdFi
JC

James C Culp

Investment Adviser Representative at ARETE WEALTH ADVISORS, LLC

New York, NYCRD #5186011Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
19 yrs
States Registered
11 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 11 states
CaliforniaFloridaIllinoisMassachusettsMichiganMissouriNew JerseyNew YorkOhioPennsylvaniaTexas
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 9/12/2007
Series 4
Registered Options Principal Examination
Passed 1/5/2017
Series 24
General Securities Principal Examination
Passed 8/5/2015
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 3/15/2007

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 MANAGEMENT, LLCCurrent
7/20/2022New York, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
3/16/200712/10/2010NEW YORK, NY
NATIONAL SECURITIES CORPORATION
2/28/20117/21/2022NEW YORK, NY

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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. James C Culp 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.

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