Renee S. Faltings

AMERICAN CAPITAL ADVISORY

Ketchum, ID 83340

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CRD#: 3276471

Professional summary

Renee Sue Faltings, who also goes by Renee Sue Perin, Renee Sue Tathwell, is a registered financial advisor currently at AMERICAN CAPITAL ADVISORY, LLC located in Ketchum, Idaho.

Renee is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Renee has worked at 3 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Renee Sue Perin | Renee Sue Tathwell

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.

PK's Sports retail sales.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Renee Sue Faltings'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

June 7, 2022 - Present

AMERICAN CAPITAL ADVISORY, LLC

Office #1: 500 North Washington Suite 202, Ketchum, ID 83340

RIA

CRD#: 141944

Ketchum, ID

Past

May 4, 2009 - December 31, 2020

CLEARROCK CAPITAL LLC

RIA

CRD#: 144480

KETCHUM, ID

Past

January 8, 2001 - May 5, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BEND, OR

Past

November 3, 1999 - May 5, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BEND, OR

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AMERICAN CAPITAL ADVISORY, LLC

AMERICAN BANK CAPITAL GROWTH FUND, LLC | AMERICAN CAPITAL ADVISORY, LLC

CRD#: 141944 / SEC#: 801-112853

RIA

Registered Investment Advisory firm - (4/20/2018 Approved)

California

Registered Investment Advisory firm - (7/29/2018 Terminated)

Idaho

Registered Investment Advisory firm - (6/29/2018 Terminated)

Maryland

Registered Investment Advisory firm - (4/30/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (6/29/2018 Terminated)

Virginia

Registered Investment Advisory firm - (6/29/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Idaho
(6/7/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/24/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/28/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 5/19/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/2/1999

General Securities Representative Examination

Current Firm

AMERICAN CAPITAL ADVISORY, LLC

AMERICAN BANK CAPITAL GROWTH FUND, LLC | AMERICAN CAPITAL ADVISORY, LLC

CRD#: 141944 / SEC#: 801-112853

RIA

Registered Investment Advisory firm - (4/20/2018 Approved)

California

Registered Investment Advisory firm - (7/29/2018 Terminated)

Idaho

Registered Investment Advisory firm - (6/29/2018 Terminated)

Maryland

Registered Investment Advisory firm - (4/30/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (6/29/2018 Terminated)

Virginia

Registered Investment Advisory firm - (6/29/2018 Terminated)

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Contact information

Main Address

500 North Washington Suite 202, Ketchum, ID 83340

Mailing Address

Po Box 4356, Ketchum, ID 83340-4356

Phone number

(208) 710-8669

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	762
AUM (Assets Under Management)	$ 254,900,000

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.

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Advisor Monitoring

Firm Stability Insights

Renee S. Faltings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Renee Sue Faltings's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLEARROCK CAPITAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

AMERICAN CAPITAL ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/24/2000

Series 63

Date: 7/28/2000

Series 31

Date: 5/19/2005

Series 7

Date: 11/2/1999

Current Firm

AMERICAN CAPITAL ADVISORY, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AMERICAN CAPITAL ADVISORY, LLC

TRUST BUT VERIFY

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