Mark Everett Schrader | Financial Professional | Melville, New York | ARETE WEALTH ADVISORS, LLC

Professional summary

Mark Everett Schrader is a registered financial advisor currently at ARETE WEALTH ADVISORS, LLC located in Melville, New York and ARETE WEALTH MANAGEMENT, LLC located in Melville, New York.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Mark has worked at 21 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) PRESIDENT OF BOARD OF DIRECTORS OF ISLAND'S END GOLF & COUNTRY CLUB. SEMI PRIVATE GOLF COURSE AND NOT INVESTMENT RELATED. I WAS ELECTED TO THE BOARD MAY 2009 AND HAVE HELD 20 SHARES OF STOCK IN THE COMPANY SINCE 1995 WHICH IS LESS THAN 1% OF THE OUTSTANDING SHARES. MY DUTIES ARE TO OVERSEE THE BUSINESS POLICIES OF THE GOLD COURSE AND MANAGE THE STAFF IN PLACE TO HANDLE DAY TO DAY BUSINESS. DEVOTE 20 HOURS PER MONTH, MOST OF THESE HOURS ARE NOT DURING THE SECURITIES TRADING DAY BUT OCCASIONALLY AN ISSUE ARISES THAT REQUIRES MY ATTENTION DURING THE DAY. I ESTIMATE THAT TIME TO BE 1-2 HOURS PER MONTH....(2) INSURANCE AGENT, INVESTMENT RELATED, BRANCH ADDRESS, START DATE: 08/2016, 15 HOURS/MONTH, 2 HOURS/MONTH DURING TRADING HOURS,ADVISE ON INSURANCE PRODUCTS...(3) THE SCHRADER GROUP INC PRESIDENT START 2017 2 HRS PER MONTH ZERO DURING TRADING HRS, CORPORTATION SOLEY FOR THE PURPOSE OF PAYING EXPENSES FOR BUSINESS PURPOSES...(4) MARKSCHRADER.COM DOMAIN START AUG 2016 3 HRS PER MONTH ALL DURING TRADING HRS...(5) FINCADIA 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... (7) FINCADIA WEALTH MANAGEMENT LLC: DBA; REGISTERED REP/ADVISOR; MELVILLE, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Everett Schrader's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 20, 2022 - Present

ARETE WEALTH ADVISORS, LLC

Office #1: 425 Broad Hollow Road, Ste 325, Melville, NY 11747

RIA

CRD#: 145488

Melville, NY

Current

July 21, 2022 - Present

ARETE WEALTH MANAGEMENT, LLC

Office #1: 425 Broadhollow Rd. Suite 325, Melville, NY 11747

BD

CRD#: 10465

GLEN ALLEN, VA

Past

May 29, 1990 - March 8, 1991

BD

CRD#: 15655

Past

October 18, 1985 - December 23, 1987

INVESTORS CENTER, INC.

BD

CRD#: 14670

Past

July 23, 1985 - September 30, 1985

THE STUART-JAMES COMPANY, INCORPORATED

BD

CRD#: 11691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AW

ARETE WEALTH ADVISORS, LLC

CRD#: 145488 / SEC#: 801-69827

RIA

Registered Investment Advisory firm - (1/5/2009 Approved)

District of Columbia

Registered Investment Advisory firm - (1/12/2009 Terminated)

Illinois

Registered Investment Advisory firm - (1/8/2008 Terminated)

Maryland

Registered Investment Advisory firm - (2/10/2009 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/22/2009 Terminated)

Virginia

Registered Investment Advisory firm - (1/12/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

Connecticut
(8/17/2022)

RR

Florida
(7/21/2022)

IAR

Florida
(1/20/2023)

RR

Maryland
(7/21/2022)

RR

New Jersey
(7/21/2022)

IAR

New York
(7/20/2022)

RR

New York
(7/21/2022)

RR

North Carolina
(9/13/2023)

RR

Pennsylvania
(7/21/2022)

RR

South Carolina
(11/28/2022)

RR

Virginia
(8/8/2022)

RR

Washington
(5/5/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

AW

ARETE WEALTH ADVISORS, LLC

CRD#: 145488 / SEC#: 801-69827

RIA

Registered Investment Advisory firm - (1/5/2009 Approved)

District of Columbia

Registered Investment Advisory firm - (1/12/2009 Terminated)

Illinois

Registered Investment Advisory firm - (1/8/2008 Terminated)

Maryland

Registered Investment Advisory firm - (2/10/2009 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/22/2009 Terminated)

Virginia

Registered Investment Advisory firm - (1/12/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1115 W Fulton Market 3rd Floor, Chicago, IL 60607

Mailing Address

Phone number

(312) 940-3684

Established

Firm type

Fiscal year end

# of Employees

138

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ARETE WEALTH ADV2A - 04.01.2025 (4/1/2025)

ARETE WEALTH WRAP FEE BROCHURE - 03.31.2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	5,837
AUM (Assets Under Management)	$ 3,152,167,506

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Mark E. Schrader

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Everett Schrader's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARETE WEALTH MANAGEMENT, LLC

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

WAMU INVESTMENTS, INC.

DIME SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

DIME SECURITIES, INC.

ESSEX NATIONAL SECURITIES, LLC

FISERV INVESTOR SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

G. R. PHELPS & CO., INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

ADVEST, INC.

J. T. MORAN & CO., INC.

INVESTORS CENTER, INC.

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

ARETE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/12/2003

Series 63

Date: 7/30/1985

SIE

Date: 10/1/2018

Series 3

Date: 5/12/2010

Series 7

Date: 7/20/1985

FINRA

Current Firm

ARETE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARETE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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