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MF

Michael A. Faiella

HEROLD & LANTERN INVESTMENTS
Tinton Falls, NJ 07724
Some features on this profile are disabled
CRD#: 1354144
MF

Professional summary

Michael Angelo Faiella JR, who also goes by Michael Angelo Faiella, is a registered financial professional currently at HEROLD & LANTERN INVESTMENTS, INC. located in Tinton Falls, New Jersey.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 6 firms and has passed the Series 63, Series 72, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Angelo Faiella

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Angelo Faiella JR'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

February 22, 2022 - Present

HEROLD & LANTERN INVESTMENTS, INC.

Office #1: 788 Shrewsbury Avenue Suite 2239 And 2237, Tinton Falls, NJ 07724
BD
CRD#: 30996
Tinton Falls, NJ
Past

April 1, 2013 - February 23, 2022

FOX CHASE CAPITAL PARTNERS, LLC

BD
CRD#: 104087
SPRINGFIELD, NJ
Past

January 3, 2006 - April 1, 2013

L.M. KOHN & COMPANY

BD
CRD#: 27913
COLTS NECK, NJ
Past

November 26, 1990 - January 4, 2006

WOLFE & HURST BOND BROKERS INC.

BD
CRD#: 8288
JERSEY CITY, NJ
Past

December 6, 1988 - July 17, 1990

CHAPDELAINE & CO. GOVERNMENT SECURITIES, INC.

BD
CRD#: 19729
Past

October 9, 1986 - November 4, 1988

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NEW YORK, NY

State Registrations and Notice Filings

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

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
New Jersey
(2/22/2022)
RR
Pennsylvania
(3/28/2022)
RR
Virginia
(5/17/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 2/1/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/15/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/15/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

H&
HEROLD & LANTERN INVESTMENTS, INC.
HEROLD & LANTERN INVESTMENTS, INC. | LANTERN INVESTMENTS, INC.

CRD#: 30996 / SEC#: , 8-45285

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Mailing Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Phone number
(631) 454-2000
Established
Delaware since 08/28/1992
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PERCHERON ASSET MANAGEMENT GROUP, INC.OWNER
HEROLD, LAWRENCE STEPHENCHIEF OPERATING OFFICER/FINOP870531
LANTON, KEITH MICHAELPRESIDENT1703378
SHEFTEL, WENDY DIANECHIEF COMPLIANCE OFFICER2300282

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.

Company Information

HEROLD & LANTERN INVESTMENTS, INC.

CRD#: 30996Tinton Falls, NJ 07724

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