AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MS

Marc A. Socol

AUGUSTAR DISTRIBUTORS
Cincinnati, OH 45242
Some features on this profile are disabled
CRD#: 2761094
MS

Professional summary

Marc Allan Socol is a registered financial professional currently at AUGUSTAR DISTRIBUTORS, INC. located in Cincinnati, Ohio.

Marc is registered as a RR (Registered Representative) and started their career in finance in 2000. Marc has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marc Allan Socol'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®
None

Experience

Current

April 13, 2023 - Present

AUGUSTAR DISTRIBUTORS, INC.

Office #1: One Financial Way, Cincinnati, OH 45242
BD
CRD#: 41081
Cincinnati, OH
Past

May 18, 2022 - March 16, 2023

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

March 4, 2013 - March 29, 2016

CURIAN CAPITAL, LLC

RIA
CRD#: 120270
DENVER, CO
Past

April 3, 2001 - December 31, 2003

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

September 22, 2000 - January 4, 2022

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
DENVER, CO

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
Alabama
(8/22/2024)
RR
Arkansas
(2/26/2025)
RR
California
(3/8/2024)
RR
Connecticut
(3/19/2024)
RR
Florida
(8/12/2024)
RR
Indiana
(9/17/2024)
RR
Maine
(3/15/2024)
RR
Maryland
(9/16/2024)
RR
Massachusetts
(11/7/2025)
RR
Missouri
(3/27/2024)
RR
Ohio
(4/14/2023)
RR
Oregon
(8/14/2024)
RR
Pennsylvania
(4/26/2024)
RR
South Dakota
(6/10/2025)
RR
Tennessee
(4/3/2025)
RR
Texas
(10/5/2024)
RR
Vermont
(5/27/2025)
RR
Virginia
(8/12/2024)
RR
Washington
(8/12/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/23/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/7/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/23/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/6/2008
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AD
AUGUSTAR DISTRIBUTORS, INC.
AUGUSTAR DISTRIBUTORS, INC. | OHIO NATIONAL EQUITIES, INC.

CRD#: 41081 / SEC#: , 8-49296

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
One Financial Way, Cincinnati, OH 45242
Mailing Address
P.o. Box 237, Cincinnati, OH 45201-0371
Phone number
(513) 797-3443
Established
Ohio since 01/17/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (42 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CONSTELLATION INSURANCE, INC.PARENT COMPANY
JACK, CLIFFORD JAMESDIRECTOR1398005
SOCOL, MARC ALLANPRESIDENT & DIRECTOR2761094
VANHOY, ANDREW JOSEPHDIRECTOR & CHIEF COMPLIANCE OFFICER3012299

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

AUGUSTAR DISTRIBUTORS, INC.

CRD#: 41081Cincinnati, OH 45242

TRUST BUT VERIFY

Monitor Marc Socol

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Jamie Mittiga Powell
Jamie PowellAdvisorCheck Check Mark
CAPITAL ADVISORY SERVICES, LLC
IAR
RR
West Chester, OH
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics