Marcus Faller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Marcus Faller, who also goes by Marcus William Faller, Mark W. Faller, Mark William Faller, Mark Faller, was a registered financial professional .
Marcus is a previously registered financial professional and started their career in finance in 1987. Marcus had worked at 21 firms and has passed the Series 63, Series 22TO, SIE, Series 22 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2020 - December 3, 2021
AEON CAPITAL INC
January 16, 2018 - July 3, 2018
MOLONEY SECURITIES CO., INC.
January 5, 2017 - March 31, 2017
HARTMAN REAL ASSETS SECURITIES, INC
March 5, 2015 - January 3, 2017
D.H. HILL SECURITIES, LLLP
January 2, 2014 - July 8, 2014
ARETE WEALTH MANAGEMENT, LLC
August 11, 2011 - August 30, 2013
IMS SECURITIES, INC.
March 3, 2010 - December 31, 2010
MERRIMAC CORPORATE SECURITIES, INC.
August 21, 2007 - March 13, 2008
RIDGEWOOD SECURITIES CORPORATION
September 10, 2001 - September 25, 2002
FORESIDE DISTRIBUTION SERVICES, L.P.
June 8, 2000 - September 4, 2001
ORBITEX FUNDS DISTRIBUTOR, INC.
July 6, 1998 - May 11, 2000
FUNDS DISTRIBUTOR, LLC
October 30, 1996 - August 29, 1997
VP DISTRIBUTORS LLC
February 2, 1996 - September 19, 1996
MORGAN STANLEY & CO. LLC
August 28, 1995 - January 1, 1996
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
April 22, 1993 - December 31, 1994
INVESCO CAPITAL MARKETS, INC.
December 4, 1991 - April 6, 1992
INTERNATIONAL ASSETS ADVISORY, LLC
November 19, 1989 - June 7, 1990
OSAIC WEALTH, INC.
June 29, 1987 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
June 29, 1987 - March 9, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 29, 1987 - March 9, 1990
OSAIC FA, INC.
May 26, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 22TO
Date: 11/8/2022
Direct Participation Programs Representative ExaminationCurrent Firm
AEON CAPITAL INC
CRD#: 164004 / SEC#: , 8-69080
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEON CAPITAL MARKETS, LLC | OWNER | |
| MALLIOS, DEMETRIOS | OWNER - CCO | 3169758 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
