Best Investors
Account
Sign in
Best Investors
Account
Sign in
1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2022-09-06 |
| NJ | RA | APPROVED | 2022-07-27 |
| NY | RA | APPROVED | 2022-07-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Securities Corp | New York | NY | 02/2011 | 07/2022 |
| National Asset Management, Inc. | New York City | NY | 04/2011 | 07/2022 |
| Arete Wealth Management Llc | Chicago | IL | 07/2022 | Present |
| Arete Wealth Advisors Llc | Chicago | IL | 07/2022 | Present |
FINCADIA CAPITAL PARTNERS LLC: DBA; OFFICER/DIRECTOR; NEW YORK, NY; START DATE 10/2022. FINCADIA LLC: DBA; OFFICER/DIRECTOR; NEW YORK, NY; START DATE 11/2022. FINCADIA WEALTH MANAGEMENT LLC: DBA; OFFICER/DIRECTOR; NEW YORK, NY; START DATE 11/2022. JAMES C CULP III - BUSINESS CHECKING ACCOUNT: PASS-THROUGH ENTITY FOR TAX PURPOSES/RECORD KEEPING ONLY; NEW YORK, NY; START DATE 07/2022; NOT INVESTMENT RELATED. THIRD EXECUTOR - OWNER- CONSULTING SERVICE - HELPS INDIVIDUALS AND FAMILIES ORGANIZE THEIR FINANCIAL ACCOUNTS AND ASSETS AROUND DEATH. BRIARCLIFF MANOR, NY. START DATE 4/1/2024. APPROXIMATELY 20 HOURS PER MONTH OUTSIDE OF TRADING HOURS WITH LESS THAN 5 HOURS DURING TRADING HOURS. NOT INVESTMENT RELATED. Third Surveillance, LLC; Owner; Development and licensing of a Compliance, Supervision, and Trade Surveillance software tool; Briarcliff Manor, NY; 80 hours per month, 1 during trading hours; Start date: 05/2025.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-09-12 |
Reach out to this advisor