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1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2026-02-10 |
| NY | RA | APPROVED | 2022-07-20 |
Branch Locations
200 Mamaroneck Ave. Suite 305, White Plains, NY 10601 • 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 |
|---|---|---|---|---|
| National Securities Corporation | New York | NY | 01/2004 | 07/2022 |
| National Asset Management | New York City | NY | 01/2012 | 07/2022 |
| Arete Wealth Management, Llc | Chicago | IL | 07/2022 | Present |
| Arete Wealth Advisors, Llc | Chicago | IL | 07/2022 | Present |
Saranac Advisors Inc., DBA, Parent dba, 160 hours per month during trading hours, Start Date: 10/03/2024. Saranac Tax Services LLC., DBA - Partner, Tax Preparation Services, 50 hours per month total, 40 hours per month during trading hours, Start Date: 10/07/2024. Saranac Wealth, DBA, Wealth Management Services, Owner, 160 hours per month during trading hours. Start date: 10/17/2024. FINCADIA LLC: DBA; CONTRACTOR; WHITE PLAINS NY; START DATE 09/2022; 160 HRS/MTH; INVESTMENT RELATED. FINCADIA WEALTH MANAGEMENT: DBA; CONTRACTOR; WHITE PLAINS NY; START DATE 09/2022; 160 HRS/MTH; INVESTMENT RELATED. FINCADIA CAPITAL PARTNERS: DBA; CONTRACTOR; WHITE PLAINS NY; START DATE 09/2022; 160 HRS/MTH; INVESTMENT RELATED. FINCADIA TAX: TAX PREPARATION SERVICES; CONTRACTOR; WHITE PLAINS NY; START DATE 11/2022; 20 HRS/MTH; NOT INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-11-22 |
| S65 | Uniform Investment Adviser Law Examination | 2012-02-04 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-10 |
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