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Richard Spatola

Investment Adviser Representative at ARETE WEALTH ADVISORS, LLC

Melville, NYCRD #1798271Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
34 yrs
States Registered
12 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 12 states
CaliforniaColoradoConnecticutFloridaGeorgiaMassachusettsMinnesotaNew JerseyNew YorkOklahomaPennsylvaniaWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 10/15/1994
Series 63
Uniform Securities Agent State Law Examination
Passed 8/4/1988
Series 24
General Securities Principal Examination
Passed 8/17/1995
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 7/16/1988

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$0 - $249,0003.00%
$250,000 - $749,9992.50%
$750,000 - $1,499,9992.00%
$1,500,000 - $4,999,9991.75%
$5,000,000 and over1.50%
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

ARETE WEALTH Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ARETE WEALTH MANAGEMENT, LLCCurrent
7/21/2022Melville, NY
NATIONAL SECURITIES CORPORATION
9/9/20147/20/2022MELVILLE, NY
NATIONAL SECURITIES CORPORATION
8/9/20062/20/2009HUNTINGTON, NY
THE J.B. SUTTON GROUP, LLC
7/29/19977/9/1998MELVILLE, NY
CITICORP INVESTMENT SERVICES
7/19/19995/3/2002LONG ISLAND CITY, NY
J. T. MORAN & CO., INC.
7/19/19883/23/1989
CITICORP INVESTMENT SERVICES
7/18/20024/22/2004LONG ISLAND CITY, NY
TERRA SECURITIES CORPORATION
6/30/200412/7/2004SCHAUMBURG, IL
ROYAL ALLIANCE ASSOCIATES, INC.
4/26/19951/19/1996SCOTTSDALE, AZ
HOCHMAN & BAKER SECURITIES, INC.
3/24/20046/30/2004STAMFORD, CT
PAINEWEBBER INCORPORATED
3/15/19894/26/1995WEEHAWKEN, NJ
VERITY INVESTMENTS, INC.
2/2/20109/5/2014PLAINVIEW, NY
THE DREYFUS SERVICE CORPORATION
1/18/19967/16/1997NEW YORK, NY

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Richard Spatola has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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