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Michael T. Faciana

Some features on this profile are disabled
CRD#: 3251090
MF

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.

Michael Thomas Faciana was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 25, 2022 - March 27, 2023

INVESTX MARKETS LLC

BD
CRD#: 148248
NEW YORK, NY
Past

February 10, 2021 - January 31, 2022

CALAMAR FINANCIAL GROUP, LLC

BD
CRD#: 283992
AMHERST, NY
Past

August 19, 2019 - June 29, 2020

JCC CAPITAL MARKETS, LLC

BD
CRD#: 146776
Dallas, TX
Past

July 10, 2014 - December 17, 2018

CCO CAPITAL, LLC

BD
CRD#: 31147
PHOENIX, AZ
Past

November 30, 2011 - July 14, 2014

STIRA CAPITAL MARKETS GROUP, LLC

BD
CRD#: 141277
IRVINE, CA
Past

July 7, 2004 - October 31, 2011

ALLIANZ LIFE FINANCIAL SERVICES, LLC

BD
CRD#: 612
MINNEAPOLIS, MN
Past

May 10, 2004 - August 4, 2004

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
ST. PETERS, MO
Past

May 6, 2004 - August 4, 2004

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

September 29, 2003 - January 16, 2004

WADDELL & REED

RIA
CRD#: 866
CREVE COEUR, MO
Past

September 22, 2003 - January 16, 2004

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

June 4, 2002 - June 13, 2003

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

January 5, 2001 - March 5, 2002

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

July 18, 2000 - December 4, 2000

CITISTREET EQUITIES LLC

BD
CRD#: 7447
SOMERSET, NJ
Past

August 18, 1999 - July 21, 2000

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/26/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/2/1999
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 7
Date: 8/17/1999
General Securities Representative Examination

Current Firm

IM
INVESTX MARKETS LLC
AUCTUS SECURITIES, LLC | WOODVILLE HALL CAPITAL, LLC | INVESTX MARKETS LLC

CRD#: 148248 / SEC#: , 8-67996

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

Main Address
19 Fulton Street Suite 300, New York, NY 10038
Mailing Address
19 Fulton Street Suite 300, New York, NY 10038
Phone number
(212) 390-9270
Established
Virginia since 10/17/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 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#
INVESTX FINANCIAL (UNITED STATES) INC.100% OWNER
NEW, MARCUS A.CCO7235082
SANDERS, DANIEL TAYLORCEO2673344
VIGLIAROLO, JOSEPH CHARLESFINOP4880434

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

INVESTX MARKETS LLC

CRD#: 148248

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