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1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
| NY | RA | APPROVED | 2022-07-19 |
Branch Locations
425 Broadhollow Rd. Suite 325, Melville, NY 11747 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Hauppauge | NY | 10/2007 | 01/2017 |
| National Securities Corp | Melville | NY | 01/2017 | 07/2022 |
| National Asset Management | Melville | NY | 02/2017 | 07/2022 |
| Arete Wealth Management Llc | Chicago | IL | 07/2022 | Present |
| Arete Wealth Advisors Llc | Chicago | IL | 07/2022 | Present |
HELM PRIVATE CLIENT GROUP: PASS THROUGH ENTITY FOR TAX PURPOSES; OWNER; ST JAMES, NY; START 2-2017; 0 HRS PER MONTH ZERO DURING TRADING HRS. 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-12-17 |
| S63 | Uniform Securities Agent State Law Examination | 2003-09-30 |
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