Marcus Faller
Professional Summary
Marcus Faller, who also goes by Marcus William Faller, Mark W. Faller, Mark William Faller, Mark Faller, was a registered financial advisor. Marcus was a previously registered financial professional and started their career in finance 1987 - 2021. Marcus had worked at 21 firms and has passed the Series 63, Series 22TO, SIE, Series 22 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Marcus William Faller, Mark W. Faller, Mark William Faller, Mark Faller
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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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
39 years in the financial services industry
Current & Past Employments
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Current Firm
AEON CAPITAL INC | STROM FINANCIAL PARTNERS, INC. | STRATOS CAPITAL INC. | RCP CAPITAL MARKETS, INC | RCP CAPITAL MARKETS | AEON CAPITAL INC.
Contact Information
Established
Wisconsin since 03/22/2012Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEON CAPITAL MARKETS, LLC | OWNER | — |
| MALLIOS, DEMETRIOS | OWNER - CCO | 3169758 |
Disclosures
Regulatory Event
2Civil Event
1Similar Advisors
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22TO — Direct Participation Programs Representative Examination
Passed Nov 2022About the Series 22TO examSeries 22 — Direct Participation Programs Representative Examination
Passed Aug 2007About the Series 22 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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