Arete Wealth Management, LLC’s Business Continuity Planning

  • Arete Wealth Management, LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

    Contacting Us – If after a significant business disruption you cannot contact us as you usually do at (312) 940-3684, you should call our alternative number, (312) 203-4580. If you cannot access us through either of those means, you should contact our clearing firm, National Financial Services, LLC, at (800) 877-2410 for instructions on how it may provide prompt access to funds and securities, enter orders and process other trade-related, cash, and security transfer transactions for you.

    Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

    Our business continuity plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

    Our clearing firm, National Financial Services, LLC, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within 1 business day. Your orders and requests for funds and securities could be delayed during this period.

    Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 48 hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within 5 business days. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.

    For more information – If you have questions about our business continuity planning, you can contact us at (312) 940-3684

Branch List

  • Chicago, IL (Headquarters)

    1115 W Fulton Market, 3rd Floor
    Chicago, IL 60607

    Birmingham, AL

    800 Shades Creek Pkwy, Suite 460
    Birmingham, AL 35209

    Scottsdale, AZ

    6424 E. Greenway Pkwy, Suite 149
    Scottsdale, AZ 85254

    Campbell, CA

    2105 S Bascom Ave, Suite 245
    Campbell, CA 95008

    Carlsbad, CA

    6005 Hidden Valley Rd, Suite 290
    Carlsbad, CA 92011

    Century City, CA

    1875 Century Park East, Suite 600
    Century City, CA 90067

    San Diego, CA

    3636 Nobel Dr, Suite 440
    San Diego, CA 92122

    San Diego, CA

    3131 Camino Del Rio North, Suite 370
    San Diego, CA 92108

    San Diego, CA

    12760 High Bluff Dr, Suite 110
    San Diego, CA 92130

    San Francisco, CA

    109 Olympia Way
    San Francisco, CA 94131

    Santa Barbara, CA

    925 de la Vina St, Suite 103
    Santa Barbara, CA 93101

    Woodland Hills, CA

    6320 Canoga Ave, Suite 1500
    Woodland Hills, CA 91367

    Englewood, CO

    7887 East Belleview Ave, Suite 1100
    Englewood, CO 80111

    Farmington, CT

    790 Farmington Ave, Bldg 3
    Farmington, CT 06032

    Westport, CT

    320 Post Rd West, Suite 210
    Westport, CT 06880

    Palm Beach, FL

    2875 South Ocean Blvd, Suite 200
    Palm Beach, FL 33480

    Atlanta, GA

    3715 Northside Pkwy, Suite 4-250
    Atlanta, GA 30327

    West Des Moines, IA - Insight

    6600 Westown Pkwy, Suite 190
    West Des Moines, IA 50266

    West Des Moines, IA - Silvercap

    1200 Valley West Dr, Suite 104
    West Des Moines, IA 50266

    Crystal Lake, IL

    1 North Virginia St, Suite D
    Crystal Lake, IL 60014

    Park Ridge, IL

    626 Busse Hwy
    Park Ridge, IL 60068

    Opelousas, LA

    4670 I-49 N Service Road
    Opelousas, LA 70570

    Wenham, MA

    300 Main St
    Wenham, MA 01984

    Annapolis, MD

    61 Cornhill St
    Annapolis, MD 21401

    Clayton, MO

    8000 Maryland Ave, Suite 1031
    Clayton, MO 63105

    Creve Coeur, MO

    745 Craig Rd, Suite 308A
    Creve Coeur, MO 63141

    Kirkland, MO

    214 N Clay Ave, Suite 210
    Kirkwood, MO 63122

    Portsmouth, NH

    40 Pleasant St
    Portsmouth, NH 03801

    Lake Oswego, OR

    32 Wilbur St
    Lake Oswego, OR 97034

    Pittsburgh, PA

    320 Fort Duquesne Blvd, Suite 235
    Pittsburgh, PA 15222

    Memphis, TN

    775 Ridge Lake Blvd, Suite 150
    Memphis, TN 38120

    Southlake, TX

    950 E State Hwy 114 #160
    Southlake, TX 76092

    Vienna, VA

    8500 Leesburg Pike, Suite 209
    Vienna, VA 22182

    Vienna, VA

    8000 Towers Crescent Dr, Suite 1250
    Vienna, VA 22182