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1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2025-02-06 |
| PA | RA | APPROVED | 2025-02-06 |
| NJ | RA | APPROVED | 2024-01-23 |
| TX | RA | APPROVED_RES | 2023-10-27 |
| FL | RA | APPROVED | 2023-08-28 |
| OH | RA | APPROVED | 2022-07-25 |
| NY | RA | APPROVED | 2022-07-19 |
Branch Locations
5 Hanover Square 12Th Floor, New York, NY 10004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Securities Corporation | New York | NC | 01/2004 | 07/2022 |
| National Asset Management, Inc. | New York City | NY | 07/2010 | 07/2022 |
| Arete Wealth Management, Llc | Chicago | IL | 07/2022 | Present |
| Arete Wealth Advisors, Llc | Chicago | IL | 07/2022 | Present |
SHAMPON LAMPORT: INSURANCE SALES; AGENT; MANAGE HEALTH PLAN FOR GROUP; NY, NY; 1 HR/MTH; NOT INVESTMENT RELATED. ARETE INSURANCE: INSURANCE SALES; AGENT; MANAGE & MARKET INSURANCE PRODUCTS; NY, NY; 1 HR/MTH; INVESTMENT RELATED. FINCADIA LLC: DBA; REGISTERED REP/ADVISOR; NY, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. FINCADIA WEALTH MANAGEMENT LLC: DBA; REGISTERED REP/ADVISOR; NY, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. FINCADIA CAPITAL PARTNERS LLC: DBA; REGISTERED REP/ADVISOR; NY, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. UA INVESTMENTS INC: SETUP FOR PAYROLL PURPOSE; OWNER; CRESSKILL, NJ; START DATE 07/2022; 0 HRS/MTH; NOT INVESTMENT RELATED. AUS HOLDINGS LLC: TO HOLD REAL ESTATE INVESTMENTS; PARTNER; MIAMI BEACH, FL; START DATE 07/2022; 0 HRS/MTH; INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-07-30 |
| S63 | Uniform Securities Agent State Law Examination | 2003-05-07 |
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