Peter Elliot Marshall

Employer firm

Arete Wealth Advisors, LLC CRD 145488

$2.75B regulatory AUM 35 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Arete Wealth Advisors, Llc

1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2022-07-27
TX	RA	APPROVED_RES	2022-07-20
NY	RA	APPROVED	2022-07-19

NJ RA
APPROVED

Since 2022-07-27
TX RA
APPROVED_RES

Since 2022-07-20
NY RA
APPROVED

Since 2022-07-19

Branch Locations

425 Broad Hollow Road, Ste 325, Melville, NY 11747 • United States

Disclosures

1 disclosure category 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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Garden City	NY	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Garden City	NY	11/2016	02/2019
National Securities Corp	Melville	NY	02/2019	07/2022
National Asset Mangement	Melville	NY	02/2019	07/2022
Arete Wealth Management Llc	Chicago	IL	07/2022	Present
Arete Wealth Advisors Llc	Chicago	IL	07/2022	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Garden City, NY
11/2016 → 02/2019

Wells Fargo Clearing Services, Llc

Garden City, NY
02/2019 → 07/2022

National Securities Corp

Melville, NY
02/2019 → 07/2022

National Asset Mangement

Melville, NY
07/2022 → Present

Arete Wealth Management Llc

Chicago, IL
07/2022 → Present

Arete Wealth Advisors Llc

Chicago, IL

Previous Registrations

2020-03-25 → 2022-07-21

B. Riley Wealth Advisors, Inc.

Melville, NY

Other Businesses

ST. JOHN'S OF LATTINGTOWN EPISCOPAL CHURCH: MEMBER OF CHURCH INVESTMENT COMMITTEE; LOCUST VALLEY, NY; 2 HRS/MTH; INVESTMENT-RELATED. 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.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-11-24
S63	Uniform Securities Agent State Law Examination	1992-03-13

S65 Uniform Investment Adviser Law Examination

2021-11-24
S63 Uniform Securities Agent State Law Examination

1992-03-13

View on SEC IAPD