David Leon Lynn

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
NY	RA	APPROVED	2023-01-06

NY RA
APPROVED

Since 2023-01-06

Branch Locations

425 Broadhollow Road Suite 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
Ameriprise Financial Services, Inc.	Mitchel Field	NY	01/2015	01/2023
Arete Wealth Management	Chicago	IL	01/2023	Present
Arete Wealth Advisors	Chicago	IL	01/2023	Present

01/2015 → 01/2023

Ameriprise Financial Services, Inc.

Mitchel Field, NY
01/2023 → Present

Arete Wealth Management

Chicago, IL
01/2023 → Present

Arete Wealth Advisors

Chicago, IL

Previous Registrations

2021-04-16 → 2023-01-11

Ameriprise Financial Services, Llc

Garden City, NY

Other Businesses

FINCADIA LLC: DBA; REGISTERED REP/ADVISOR; NY, NY; START DATE 01/2023; FULL TIME; INVESTMENT RELATED. FINCADIA WEALTH MANAGEMENT LLC: DBA; REGISTERED REP/ADVISOR; NY, NY; START DATE 01/2023; FULL TIME; INVESTMENT RELATED. FINCADIA CAPITAL PARTNERS LLC: DBA; REGISTERED REP/ADVISOR; NY, NY; START DATE 01/2023; FULL TIME; INVESTMENT RELATED.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1985-10-31

S63 Uniform Securities Agent State Law Examination

1985-10-31

View on SEC IAPD