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1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-01-11 |
| NJ | RA | APPROVED | 2022-08-17 |
| CA | RA | APPROVED | 2022-07-21 |
| TX | RA | APPROVED_RES | 2022-07-20 |
| NY | RA | APPROVED | 2022-07-19 |
Branch Locations
425 Broadhollow Rd. Suite 325, Melville, NY 11747 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Melville | NY | 04/2016 | 09/2017 |
| National Securities Corp | Melville | NY | 09/2017 | 07/2022 |
| National Asset Management | Melville | NY | 09/2017 | 07/2022 |
| Arete Wealth Management, Llc | Chicago | IL | 07/2022 | Present |
| Arete Wealth Advisors, Llc | Chicago | IL | 07/2022 | Present |
CARA CORP CAPITAL ONE BANK: TAX PURSPOSES; OWNER; COMMACK, NY; START DATE 10/2017; 8 HRS/MTH; NOT INVESTMENT RELATED. FINCADIA LLC: DBA; REGISTERED REP/ADVISOR; MELVILLE, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. FINCADIA WEALTH MANAGEMENT LLC: DBA; REGISTERED REP/ADVISOR; MELVILLE, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. FINCADIA CAPITAL PARTNERS LLC: DBA; REGISTERED REP/ADVISOR; MELVILLE, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. INDEPENDENT INSURANCE AGENT: INSURANCE SALES: MELVILLE, NY; START DATE 07/2022; 1 HR/MTH; INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-11-09 |
| S66 | Uniform Combined State Law Examination | 2016-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 2001-11-05 |
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