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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 | 2022-07-27 |
| NY | RA | APPROVED | 2022-07-20 |
| TX | RA | APPROVED_RES | 2022-07-20 |
Branch Locations
425 Broadhollow Rd Suite 325, Melville, NY 11747 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Securities Corpoation | New York | NC | 01/2004 | 07/2022 |
| National Asset Management, Inc. | Newport Beach | CA | 05/2008 | 07/2022 |
| Arete Wealth Management Llc | Chicago | IL | 07/2022 | Present |
| Arete Wealth Advisors Llc | Chicago | IL | 07/2022 | Present |
FINCADIA 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. FINCADIA WEALTH MANAGEMENT LLC: DBA; REGISTERED REP/ADVISOR; MELVILLE, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. CAROL'S ARMY INC.: CHARITY; OWNER; DIX HILLS, NY; START DATE 05/2023; 1 HR/MTH; NOT INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-10-29 |
| S65 | Uniform Investment Adviser Law Examination | 2008-03-19 |
| S63 | Uniform Securities Agent State Law Examination | 1997-03-20 |
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