MA
Marc D. Aiken
LANTERN WEALTH ADVISORS
Miami, FL
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CRD#: 1076829
MA
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 24 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.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Marc Daniel Aiken's 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®
NoneExperience
Current
July 1, 2025 - Present
LANTERN WEALTH ADVISORS, LLC
RIA
CRD#: 147420
Miami, FL
Current
June 13, 2025 - Present
HEROLD & LANTERN INVESTMENTS, INC.
Office #1: 35 Pinelawn Road Suite 101e, Melville, NY 11747BD
CRD#: 30996
Melville, NY
Past
July 15, 2003 - June 16, 2025
SECURITIES RESEARCH, INC. OF FLORIDA
RIA
CRD#: 6516
Miami, FL
Past
January 1, 1990 - June 16, 2025
SECURITIES RESEARCH, INC. OF FLORIDA
BD
CRD#: 6516
TAMARAC, FL
Past
May 22, 1987 - December 13, 1989
COMMVEST SECURITIES,INC.
BD
CRD#: 13500
Past
August 8, 1984 - May 27, 1987
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Past
April 18, 1983 - July 31, 1984
DONALD SHELDON & CO., INC.
BD
CRD#: 6966
Past
November 24, 1982 - May 5, 1983
BLINDER, ROBINSON & CO., INC.
BD
CRD#: 5096
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 - (1/15/2014 Approved)California
Registered Investment Advisory firm - (2/16/2014 Terminated)New Jersey
Registered Investment Advisory firm - (2/10/2014 Terminated)New York
Registered Investment Advisory firm - (1/17/2014 Terminated)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
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)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 5/21/1985
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LW
LANTERN WEALTH ADVISORS, LLC
LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC
CRD#: 147420 / SEC#: 801-79035
RIA
Registered Investment Advisory firm - (1/15/2014 Approved)California
Registered Investment Advisory firm - (2/16/2014 Terminated)New Jersey
Registered Investment Advisory firm - (2/10/2014 Terminated)New York
Registered Investment Advisory firm - (1/17/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Mailing Address
Phone number
(631) 454-2000
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 379 |
| AUM (Assets Under Management) | $ 265,466,991 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
