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MA

Marc Daniel Aiken

LANTERN WEALTH ADVISORS

Miami, FL

·CRD# 1076829·44 years experience

Professional Summary

Marc Daniel Aiken is a registered financial advisor currently at LANTERN WEALTH ADVISORS, LLC located in Miami, Florida and HEROLD & LANTERN INVESTMENTS, INC. located in Melville, New York. Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Marc has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 5, Series 7, Series 4 and Series...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

44 years in the financial services industry

Current & Past Employments

LANTERN WEALTH ADVISORS, LLC·CRD# 147420

RIA

Miami, FL

July 1, 2025 - Present

HEROLD & LANTERN INVESTMENTS, INC.·CRD# 30996

BD

35 Pinelawn Road Suite 101e, Melville, NY 11747

June 13, 2025 - Present

SECURITIES RESEARCH, INC. OF FLORIDA·CRD# 6516

RIA

Miami, FL

July 15, 2003 - June 16, 2025

SECURITIES RESEARCH, INC. OF FLORIDA·CRD# 6516

BD

Tamarac, FL

January 1, 1990 - June 16, 2025

COMMVEST SECURITIES,INC.·CRD# 13500

BD

May 22, 1987 - December 13, 1989

THOMSON MCKINNON SECURITIES INC.·CRD# 829

BD

August 8, 1984 - May 27, 1987

DONALD SHELDON & CO., INC.·CRD# 6966

BD

April 18, 1983 - July 31, 1984

BLINDER, ROBINSON & CO., INC.·CRD# 5096

BD

November 24, 1982 - May 5, 1983

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Current Firm

LW

LANTERN WEALTH ADVISORS, LLC

LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC

CRD#: 147420 / SEC#: 801-79035

RIA

Registered Investment Advisory firm - SEC (1/15/2014 Approved)

California

Registered Investment Advisory firm - California (2/16/2014 Terminated)

New Jersey

Registered Investment Advisory firm - New Jersey (2/10/2014 Terminated)

New York

Registered Investment Advisory firm - New York (1/17/2014 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).

Contact Information

Main Address

35 Pinelawn Road Suite 101e, Melville, NY 11747

Phone Number

(631) 454-2000

# of Employees

26

SEC notice filing (10 States and Territories)

Registered to provide investment advisory services in 10 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LANTERN WEALTH ADVISORS APPENDIX 1 - WRAP BROCHURE (8/18/2026)

ADV PART 2A (8/18/2026)

Regulatory Assets Under Management

Total Number of Accounts

398

AUM (Assets Under Management)

$319,865,217

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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.

Uber, not investment related, 1725 Third Street San Francisco, CA 94158 :taxi driver, 04/2015, approximately 8 hours/month none of which is during securities trading. MD Aiken Food Corp DBA Southbeach Bagels, not investment related located at primary residence, bagel delivery, owner, 12/2015, Approximately 16 hours/month, none of which is during securities trading hours. ,administering bagel delivery service. Lantern Wealth Advisors, LLC as of 06/2025. Investment Related. Supervised from 35 Pinelawn Rd Melville, NY 11747. Investment Advisor Representative. Approximately 5 hours/month all of which are during securities trading hours. Duties involve assisting clients with investment advisory related products and services.

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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".

LW

LANTERN WEALTH ADVISORS, LLC

LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC

CRD#: 147420 / SEC#: 801-79035

RIA

Registered Investment Advisory firm - SEC (1/15/2014 Approved)

California

Registered Investment Advisory firm - California (2/16/2014 Terminated)

New Jersey

Registered Investment Advisory firm - New Jersey (2/10/2014 Terminated)

New York

Registered Investment Advisory firm - New York (1/17/2014 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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arizona
(6/18/2025)

RR

California
(6/13/2025)

RR

Colorado
(6/18/2025)

RR

Connecticut
(6/18/2025)

RR

Florida
(6/13/2025)

IAR

Florida
(7/1/2025)

RR

Georgia
(6/13/2025)

RR

Iowa
(6/13/2025)

RR

Maryland
(6/18/2025)

RR

Massachusetts
(6/13/2025)

RR

New Jersey
(6/18/2025)

RR

New York
(6/13/2025)

RR

Texas
(7/21/2026)

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.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 2003About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1984About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 5 — Interest Rate Options Examination

Passed May 1985

Series 7 — General Securities Representative Examination

Passed Nov 1982About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Apr 1994About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Jul 1989About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Marc Daniel Aiken's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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MA

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