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1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-01-12 |
Branch Locations
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 |
|---|---|---|---|---|
| National Securities Corp | New York | NY | 01/2016 | 04/2017 |
| Aegis Capital Corp | New York | NY | 05/2017 | 10/2020 |
| A.G.P. / Alliance Global Partners | New York | NY | 10/2020 | 03/2024 |
| Sage | New York | NY | 06/2024 | 11/2024 |
| Raymond James Financial Services, Inc. | Greenwich | CT | 12/2024 | 04/2025 |
| Raymond James Financial Services Advisors, Inc. | Greenwich | CT | 12/2024 | 04/2025 |
| Tempus Advisors | Greenwich | CT | 12/2024 | 04/2025 |
| Unemployed | New York | NY | 04/2024 | 05/2024 |
| Arete Wealth Management | Chicago | IL | 01/2026 | Present |
| Arete Wealth Advisors | Chicago | IL | 01/2026 | Present |
| Fincadia | New York | NY | 01/2026 | Present |
| Unemployed | New York | NY | 05/2025 | 12/2025 |
FINCADIA LLC: DBA; REGISTERED REP/ADVISOR; New York, NY; START DATE 01/2026; FULL TIME; INVESTMENT RELATED. FINCADIA WEALTH MANAGEMENT LLC: DBA; REGISTERED REP/ADVISOR; New York, NY; START DATE 01/2026; FULL TIME; INVESTMENT RELATED. FINCADIA CAPITAL PARTNERS LLC: DBA; REGISTERED REP/ADVISOR; New York, NY; START DATE 01/2026; FULL TIME; INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-11-14 |
| S63 | Uniform Securities Agent State Law Examination | 2012-08-27 |
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