Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Spatola is a financial advisor with over 30 years of experience in the industry. Richard is currently registered with Arete Wealth Advisors, LLC, and provides financial planning and investment management services to a variety of clients, including high-net-worth individuals, corporations, and pension plans. Richard has also previously worked for National Securities Corporation, Verity Investments, Inc., and The J.B. Sutton Group, LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Non-discretionary investment advice regarding securities of affiliates of masterworks.io, llc.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Sharing in underwriting fees from an affiliated broker-dealer
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2
NY
07/20/2022 - Present
Arete Wealth Advisors, LLC (Melville NY)
NY
09/09/2014 - 07/20/2022
NATIONAL SECURITIES CORPORATION (MELVILLE NY)
NY
02/02/2010 - 09/05/2014
VERITY INVESTMENTS, INC. (PLAINVIEW NY)
NY
08/09/2006 - 02/20/2009
NATIONAL SECURITIES CORPORATION (HUNTINGTON NY)
IL
06/30/2004 - 12/07/2004
TERRA SECURITIES CORPORATION (SCHAUMBURG IL)
CT
03/24/2004 - 06/30/2004
HOCHMAN & BAKER SECURITIES, INC. (STAMFORD CT)
NY
07/18/2002 - 04/22/2004
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
07/19/1999 - 05/03/2002
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
07/29/1997 - 07/09/1998
THE J.B. SUTTON GROUP, LLC (MELVILLE NY)
NY
01/18/1996 - 07/16/1997
THE DREYFUS SERVICE CORPORATION (NEW YORK NY)
AZ
04/26/1995 - 01/19/1996
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NJ
03/15/1989 - 04/26/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
07/19/1988 - 03/23/1989
J. T. MORAN & CO., INC.
IA
Issued 10/15/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/04/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/17/1995
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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