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1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2022-07-22 |
Branch Locations
207 W Maple Street Suite B, Lancaster, WI 53813 • United States
4 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 Corporation | Lancaster | WI | 05/2016 | 07/2022 |
| National Asset Management | Lancaster | WI | 04/2018 | 07/2022 |
| Arete Wealth Management, Llc | Chicago | IL | 07/2022 | Present |
| Arete Wealth Advisors, Llc | Chicago | IL | 07/2022 | Present |
FIXED INSURANCE START MAY 2016. AMES INVESTMENT AND RETIREMENT D/B/A FINANCIAL SERVICES, INVESTMENTS, OWNER START MAY 2016 200 HRS PER MONTH ALL DURING TRADING HRS. FINCADIA LLC: DBA; REGISTERED REP/ADVISOR; LANCASTER, WI; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. FINCADIA WEALTH MANAGEMENT LLC: DBA; REGISTERED REP/ADVISOR; LANCASTER, WI; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. FINCADIA CAPITAL PARTNERS LLC: DBA; REGISTERED REP/ADVISOR; LANCASTER, WI; START DATE 07/2022; FULL TIME; INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-03-27 |
| S63 | Uniform Securities Agent State Law Examination | 2006-08-10 |
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