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1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-01-01 |
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 | NY | 10/2004 | 07/2022 |
| Arete Wealth Management Llc | Chicago | IL | 07/2022 | Present |
| Arete Wealth Advisors, Llc | Chicago | IL | 06/2023 | Present |
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. INSURANCE AGENT: INSURANCE SALES; NY, NY; START DATE 03/2023; 30 HRS/MTH; NOT INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 2004-10-22 |
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