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1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-06-16 |
| TX | RA | APPROVED | 2023-03-16 |
| NY | RA | APPROVED | 2023-03-13 |
Branch Locations
1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States
5 Hanover Sq. 12Th Floor, New York, NY 10004 • 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 | 06/2008 | 07/2022 |
| Arete Wealth Management Llc | Chicago | IL | 07/2022 | Present |
| Arete Wealth Advisors Llc | Chicago | IL | 03/2023 | Present |
DEH ADVISORS: NOT INVESTMENT RELATED; NY, NY; TAX PURPOSES. BILL PAY; OWNER; 06/20/2008; 0 HRS/MO; 0 HRS/MO DURING SECURITIES TRADING HRS; SOLE PURPOSE OF TAXES & BILL PAY. FINCADIA LLC: DBA; REGISTERED REP/ADVISOR; NY, NY; 07/20/2022; FULL TIME; INVESTMENT RELATED. FINCADIA CAPITAL PARTNERS: INSURANCE SALES; AGENT; NY, NY; START DATE 05/2023; FULL TIME; INVESTMENT RELATED. FINCADIA TAX SERVICES: TAX PREPARATION SERVICES; IAR; NY, NY; START DATE 09/2023; FULL TIME; NOT INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-06-21 |
| S63 | Uniform Securities Agent State Law Examination | 1997-03-17 |
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