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MM

Mark W. Merlet

FNEX CAPITAL
Indianapolis, IN 46204
Some features on this profile are disabled
CRD#: 2505808
MM

Professional summary

Mark William Merlet, who also goes by Mark William Merlet, is a registered financial professional currently at FNEX CAPITAL, LLC located in Indianapolis, Indiana.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1995. Mark has worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 6 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark William Merlet

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 Mark William Merlet'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

May 3, 2024 - Present

FNEX CAPITAL, LLC

Office #1: One Indiana Square Suite 2252, Indianapolis, IN 46204
BD
CRD#: 166316
Indianapolis, IN
Past

February 22, 2021 - August 8, 2023

LOCORR DISTRIBUTORS, LLC

BD
CRD#: 41782
EXCELSIOR, MN
Past

January 3, 2017 - October 30, 2018

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

February 18, 2016 - December 31, 2016

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

BD
CRD#: 144464
DENVER, CO
Past

September 24, 2011 - July 16, 2015

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
MILWAUKEE, WI
Past

January 2, 2002 - September 17, 2004

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
PORTLAND, ME
Past

March 21, 2001 - January 2, 2002

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

February 19, 1999 - January 25, 2001

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

November 27, 1995 - November 25, 1998

HEARTLAND ADVISORS, INC.

BD
CRD#: 29433
MILWAUKEE, WI
Past

January 12, 1995 - July 25, 1995

BNY CLEARING SERVICES LLC

BD
CRD#: 15879
MILWAUKEE, WI

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
Iowa
(5/3/2024)
RR
Minnesota
(5/3/2024)
RR
Nebraska
(5/3/2024)
RR
North Dakota
(5/3/2024)
RR
South Dakota
(5/3/2024)
RR
Wisconsin
(5/3/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/9/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/22/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/23/2011
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 2/12/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FNEX CAPITAL, LLC
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

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

Main Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Phone number
(317) 580-2588
Established
Indiana since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
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#
FNEX, LLCMEMBER
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753
TEUFEL, FREDERICK CHARLESFINOP2092408

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

FNEX CAPITAL, LLC

CRD#: 166316Indianapolis, IN 46204

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