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1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-01-11 |
| NJ | RA | APPROVED | 2022-07-27 |
| NY | RA | APPROVED | 2022-07-20 |
Branch Locations
1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States
425 Broadhollow Rd. Suite 325, Melville, NY 11747 • United States
2 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Melville | NY | 08/1996 | 10/2017 |
| National Securities Corp | Melville | NY | 11/2017 | 07/2022 |
| National Asset Management | Melville | NY | 02/2018 | 07/2022 |
| Arete Wealth Management, Llc | Chicago | IL | 07/2022 | Present |
| Arete Wealth Advisors, Llc | Chicago | IL | 07/2022 | Present |
(1) THE COLTRANE HOME OF DIX HILLS, NOT INVESTMENT RELATED, P.O. BOX 2171 HUNTINGTON NY 11743, VOLUNTEER FOR CHARITY, ADVISOR, START DATE: 2013, 5 HOURS/MONTH, NONE DURING TRADING HOURS, HELP IN PROMOTION FOR CHARITY...(2) FINCADIA LLC: FIXED INSURANCE, AGENT, MELVILLE, NY, FULL TIME; INVESTMENT RELATED..(3) MRB ADVISORY, PASS THROUGH ENTITY FOR ACCOUNTING PURPOSES, PRESIDENT, HUNTINGTON, NY , 1HR. PER MONTH ZERO DURING TRADING HRS., NOT INVESTMENT RELATED. (4) FINCADIA LLC: DBA; REGISTERED REP/ADVISOR; MELVILLE, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. (5) FINCADIA WEALTH MANAGEMENT LLC: DBA; REGISTERED REP/ADVISOR; MELVILLE, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. (6) FINCADIA CAPITAL PARTNERS LLC: DBA; REGISTERED REP/ADVISOR; MELVILLE, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-12-11 |
| S63 | Uniform Securities Agent State Law Examination | 1990-03-23 |
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