Ronald Harris Rothchild

Current Employers

Arete Wealth Advisors, Llc

1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-01-11
TX	RA	APPROVED_RES	2022-12-15
CA	RA	APPROVED	2022-07-21
NY	RA	APPROVED	2022-07-20

FL RA
APPROVED

Since 2023-01-11
TX RA
APPROVED_RES

Since 2022-12-15
CA RA
APPROVED

Since 2022-07-21
NY RA
APPROVED

Since 2022-07-20

Branch Locations

425 Broadhollow Rd. Suite 325, Melville, NY 10004 • United States

Disclosures

2 disclosure categories 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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
National Securities Corp	Melville	NY	07/2017	07/2022
Unemployed	Merrick	NY	05/2016	06/2017
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

07/2017 → 07/2022

National Securities Corp

Melville, NY
05/2016 → 06/2017

Unemployed

Merrick, NY
09/2017 → 07/2022

National Asset Management

Melville, NY
07/2022 → Present

Arete Wealth Management Llc

Chicago, IL
07/2022 → Present

Arete Wealth Advisors Llc

Chicago, IL

Previous Registrations

2017-09-08 → 2022-07-21

B. Riley Wealth Advisors, Inc.

Melville, NY
2014-06-20 → 2016-04-18

Raymond James Financial Services Advisors, Inc

Garden City, NY

Other Businesses

FINCADIA: INVESTMENT ADVISOR REPRESENTATIVE; MELVILLE NY; START DATE = 09/2018; INVESTMENT RELATED; 50 HRS/MTH. RON ROTHCHILD INC.: PASS THROUGH FOR EXPENSES & TAX PURPOSES; OWNER; MERRICK NY; START DATE = 09/2018; NOT INVESTMENT RELATED; 10 HRS/MTH. FINCADIA CAPITAL PARTNERS LLC: INVESTMENT ADVISOR REPRESENTATIVE; MELVILLE NY; START DATE = 09/2018; INVESTMENT RELATED; 120 HRS/MTH. FINCADIA WEALTH MANAGEMENT LLC: INVESTMENT ADVISOR REPSENTATIVE; MELVILLE NY; START DATE = 09/2018; INVESTMENT RELATED; 120 HRS/MTH. FINCADIA INSURANCE: INSURANCE SALES, INDEPENDENT INSURANCE AGENT; MELVILLE, NY; START DATE = 09/2018; NOT INVESTMENT RELATED; 2 HRS/MTH.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-10-29
S65	Uniform Investment Adviser Law Examination	2017-08-30
S63	Uniform Securities Agent State Law Examination	2002-04-05

S66 Uniform Combined State Law Examination

2021-10-29
S65 Uniform Investment Adviser Law Examination

2017-08-30
S63 Uniform Securities Agent State Law Examination

2002-04-05

Other Names

Ronald H Rothchild

View on SEC IAPD