Joshua Rogers is the founder and Chief Executive Officer of Arete Wealth, the financial investment entity within the Arete family of companies.
As CEO, Joshua is the steward of the firm’s financial management products and services, offered through more than 30 offices and over 140 advisors nationwide.
The company – a full-service Broker Dealer, Registered Investment Advisor (RIA) and Insurance firm – focuses on wealth management for high-net worth individuals and institutions, alternative investment access, venture capital and private equity programs. The firm has boasted year-over-year revenue growth rate under Joshua’s tenure after he founded the company in 2007.
With nearly 20 years of experience in financial services, Joshua is a seasoned financial executive, a visionary leader and an accomplished business developer across multiple industries. His industry affiliations include an elected position to represent all 3,000 registered small financial services firms across the country on the Financial Industry Regulatory Authority’s National Adjudicatory Council (FINRA’s NAC). NAC reviews disciplinary and membership proceedings to ensure the market integrity of financial firms and advisors.
In 2018, Joshua applied his financial expertise as a managing member of Windy City Crypto LLC, which administers investment options in the expanding and evolving cryptocurrency market.
Prior to entering the financial services industry, Joshua left Georgetown Law to pursue innovation and co-invent several patents, including the ‘name your own price’ e-commerce concepts that drive Priceline.com. His inventor career took a turn towards financial services when he rose in the ranks of a brokerage firm on Wall Street, then American Express Financial Advisors, and finally Ameriprise Financial. He lived in New York City then Washington DC before relocating to Chicago.
In his expanded business and community works, Joshua lends executive perspective to the board of the Chicago chapter of the Young Presidents’ Organization (YPO) as well as the Board of Trustees of the Museum of Contemporary Art Chicago (MCAC). He is a past board member of Threewalls, a non-profit art gallery that supports Chicago artists, and Illinois Humanities, an organization with a focus on public policy, media, business and arts.
Joshua is a graduate of St. John’s College in Annapolis, Maryland, where he is an elected Board Member with oversight of the university’s Finance, Investment and Audit committees. He also teaches Entrepreneurship at both St. John’s Annapolis and Sante Fe campuses.
Joshua finds energy to lead an accomplished professional career by balancing it with his personal interests including global travel. He’s also a voracious reader, a published writer, an art collector and passionate follower of all things in the realm of aesthetics.
David Hock comes to Arete Wealth Management with 16 years of experience in the financial services industry. His fascination with the complexity of the markets and building profits through in-depth analysis led him to the independent broker-dealer and RIA niche, where he developed expertise in financial planning and investment products, as well as an interest in private placements. Working in private placements, David notes, allows him to “work closely with the management of companies,” providing access to and understanding of a company’s inner workings in ways that a simple stock purchase does not.
David is Arete’s Chief Operating Officer and Financial Operations Principal. His focus is on product structure and development, due diligence and operations management. He has served in similar capacities throughout his career at independent Broker Dealer and Registered Investment Advisory firms.
When David is not helping to run Arete, his main hobby is fly fishing – which has taken him throughout the Western United States, and countries around the globe. He lives in Lake Oswego, Oregon (outside Portland) with his wife and two children.
David holds a Bachelor’s of Science degree in Quantitative Economics and Decision Science from the University of California, San Diego. He also holds a FINRA securities licenses Series 4,7, 24,27,63 and 65.
Before joining Arete in 2013, UnBo (Bob) Chung was Senior Regional Counsel for the Financial Industry Regulatory Authority (FINRA) for nearly a decade. While with FINRA, Bob investigated hundreds of cases and brought over 150 enforcement actions against firms and individuals for violations of FINRA Rules and Federal Securities Laws. Prior to FINRA, Bob was a prosecutor in Chicago specializing in complex financial crimes and government corruption. He has never lost a criminal trial or a FINRA enforcement hearing.
As Arete’s General Counsel, he ensures the firm is fully compliant with the securities industry’s myriad rules, laws and regulations. Bob received his B.A. from Oberlin College and his J.D. from Loyola-Chicago School of Law. He received a second law degree, a LL.M., in Financial Services Law from the IIT/Chicago-Kent College of Law. He also holds FINRA securities licenses Series 7, 24, and 66.
Nate Moster is Chief Marketing Officer of Arete Wealth Management, the financial investment entity within the Arete family of companies.
Arete focuses on wealth management for high-net worth individuals and institutions, alternative investment access, venture capital and private equity programs. As CMO, Nate is responsible for building the company’s brand through marketing, communications and media for more than 25 offices and over 100 advisors nationwide.
Prior to Arete, Nate has spent the past 15 years in marketing and its related disciplines. He’s worked across large corporations, not-for-profits and small businesses both in full-time and consultant roles. Sectors of his experience include consumer packaged goods, healthcare IT and financial services with companies including Procter & Gamble, Monster.com, McKesson, Allscripts and Fidelity Investments.
Nate flexes his creative muscles to identify where challenges and opportunities lie. An energetic facilitator and experienced AC Nielsen-certified moderator, Nate has lead thousands of participants through workshops, focus groups and other organized dialogues. He’s authored countless marketing strategies, produced hundreds of videos, written many speeches for corporate CEOs and orchestrated over 100 large-scale events.
Nate graduated from Xavier University in Cincinnati, OH with a degree in communications and advertising and pursuit of a secondary focus in business.
Heidi was hired as one Arete’s first employees and after filling many critical roles, she was promoted to the Director of Operations.
Bringing over 30 years of experience, Heidi oversees trading, billing and human resources. One of her first tasks was implementing a massive technology uplift, implementing custom-built systems to better fit the needs of Arete Wealth financial advisors. Heidi leads a highly efficient, solution-focused team and continues to work closely with the other executives to ensure financial advisors and their clients receive top-tier services.
Prior to Arete, Heidi proved her impressive management skills in various industries including hospitality, food service and veterinary medicine. In those previous positions, she strategized and implemented business and operational improvement plans for both large and small companies.
Linda Ieleja Gerstman joins Arete with over 20 years of experience in securities law in both the private sector and as a government prosecutor. Linda most recently was Senior Investigation Counsel in the Enforcement Division of the U.S. Securities and Exchange Commission. She served in the Asset Management Unit, where she received specialized training and focused her investigations on investment advisers, investment companies, hedge funds, and private equity funds. For nearly a decade previous to that, Linda was a Branch Chief in the Midwest Regional Office, supervising a team of attorneys in the investigation and prosecution of hundreds of matters involving a wide variety of securities law violations.
Prior to her service at the SEC, Linda was at Sidley Austin, where she worked on commercial disputes, including those involving securities and commodities fraud and internal corporate investigations. A seasoned litigator, she is admitted to the Illinois bar, as well as the Northern District of Illinois (trial bar), the Eastern District of Wisconsin, the Eastern District of Michigan, the 6th Circuit Court of Appeals, the 7th Circuit Court of Appeals, and the U.S. Supreme Court.
Linda received her B.A. (magna cum laude, Phi Beta Kappa) from Gustavus Adolphus College and her J.D. (cum laude) from the University of Minnesota.
Karlton Kleis is a Founder and Partner of Insight Wealth Group. Karlton received a degree in accounting from Northwestern College and an MBA from the University of Iowa with an emphasis in structured finance. He began his career as an auditor in the health care field, but soon moved to work at a Top 100 Independent Financial Advisory firm. As the firm grew, he served in several management positions, including Controller and Chief Operating Officer of the firm.
Karlton has also been instrumental in the start-up of numerous financial services companies, including a broker/dealer and a third party administration firm. He has spent the last several years as an investment banker with a team of industry professionals both identifying and creating investment opportunities for high net worth investors. He is a member of the investment committee and serves as Due Diligence Officer for the broker/dealer, Arete Wealth Management.
Karlton and his wife, Allison, live outside Grimes, Iowa with their three children, Emerson, Griffin and Greer. In his spare time, Karlton serves on the Board of Directors of the Mercy Foundation and enjoys spending time at the ball field watching his children play softball and baseball.
Corrie is the Options Principal, Municipal Securities Principal and a Compliance Officer for Arete Wealth. She is in constant communication with Arete’s Chief Compliance Officer and works tirelessly to keep Arete Wealth advisors safe.
Corrie has nearly a decade of experience, starting her career in the compliance department of a national broker-dealer. Later, she accepted the position of Chief Compliance Officer with an independent registered investment advisory firm. During Corrie’s lengthy tenure as CCO, that firm received zero customer complaints and passed every regulatory examination without a single substantive deficiency.
Corrie graduated from the University of Memphis with a BBA in Management Information Systems. She holds six professional licenses, the Series 7 (general securities), Series 24 (general securities principal), Series 4 (registered options principal), Series 53 (municipal securities principal), Series 66 (uniformed combined state law) and the Series 31 (futures managed funds).
Having lived all over the country, Corrie is proud to call Memphis her home.