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1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2022-11-10 |
| FL | RA | APPROVED | 2022-10-04 |
| SC | RA | APPROVED | 2022-08-10 |
| TX | RA | APPROVED_RES | 2018-12-06 |
| GA | RA | APPROVED | 2018-11-29 |
| AL | RA | APPROVED | 2018-11-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Birmingham | AL | 08/2011 | 11/2018 |
| Rfg Advisory Group, Llc | Birmingham | AL | 08/2011 | 03/2017 |
| Arete Wealth Management Llc | Chicago | IL | 11/2018 | Present |
| Arete Wealth Advisors Llc | Chicago | IL | 11/2018 | Present |
Poynor & Associates, Inc.: Sole member corporation; President & Secretary; entity receives fixed life insurance revenues; investment related. Poynor, LLC: Sole member LLC; President & Secretary; entity receives fixed life insurance revenues; investment related. AgencyONE: Insurance Sales; Agent; fixed & variable life and annuity sales; investment related. Group benefits (various insurance companies that manufacture group life, AD&D, STD, LTD, Health, etc): Insurance Sales; Agent; group benefits for employees of companies, these benefits are Group Life, Disability, Health, Long Term Care; not investment related. St. Luke's Episcopal Church Foundation: Board Member; not investment related. Million Dollar Round Table: Finance Committee Member; Start Date 10/2022; 1 hr/mth; investment related. HPBP Properties LLC: real estate LLC to hold business property; Owner; Start Date 10/2020; 2 hrs/mth; investment related. Lutheran Services Florida; non-profit; Board Member; Serving as an Ambassador Board Member, helping promote the work of the non-profit to community leaders. 5 hours a month; not investment related; Start Date 10/2024 Make A Wish Foundation of Alabama; volunteer and fundraiser; Birmingham, AL; 5 hours per month, 0 during trading hours, Start Date: 01/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-11-10 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-21 |
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