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1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2022-07-27 |
| NY | RA | APPROVED | 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 |
|---|---|---|---|---|
| Gaines, Berland Inc. | Syosset | NY | 11/1996 | Present |
| National Asset Management | Investment Advisor Representative | NY | 01/2021 | 07/2022 |
| National Securities Corporation | Melville | NY | 01/2021 | 07/2022 |
| Arete Wealth Management Llc | Chicago | IL | 07/2022 | Present |
| Arete Wealth Advisors Llc | Chicago | IL | 07/2022 | Present |
| Ladenburg, Thalmann & Co., Inc. | New York | NY | 11/2002 | 12/2020 |
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. Port Washington Business Improvement District, 2 hours per month, 0 during trading hours. Port Washington, NY. Start date 6/5/2024.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-11-03 |
| S63 | Uniform Securities Agent State Law Examination | 1997-05-09 |
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