NF
Nicholas R. Faulkner
SAILCREST CAPITAL MANAGEMENT LLC
ANAHEIM, CA 92808
Some features on this profile are disabled
CRD#: 5585683
NF
Professional summary
Nicholas Ray Faulkner, who also goes by Faulkner, is a registered financial advisor currently at SAILCREST CAPITAL MANAGEMENT LLC located in Anaheim, California.
Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Nicholas has worked at 2 firms and has passed the Series 65, Series 66, Series 63, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Faulkner
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 name of the other business: Public Works LP - whether the business is investment-related: Yes - the address of the other business: Floor 4, Willow House, Cricket Square Grand Cayman KY1-9010 Cayman Islands the nature of the other business: Early-stage investments your position: Consultant and Independent Director of Investment Committee title, or relationship with the other business: Consultant and Independent Director of Investment Committee the start date of your relationship: July 2024 the approximate number of hours/month you devote to the other business: 15 hours a month the number of hours you devote to the other business during securities trading hours: less than 1 hour on average and briefly describe your duties relating to the other business: Mariners Capital Consulting LLC ("MCC") is engaged in a consulting arrangement with Public Works LP, a Cayman Islands exempted limited partnership. This consulting relationship includes (1) acting as an independent director on Public Works' investment committee, providing strategic insights on potential and current investments; (2) managing operational responsibilities such as financial reporting oversight, audit facilitation, and coordination with other external service providers. This relationship creates a potential conflict of interest as Mr. Faulkner's role with MCC and on the investment committee of Public Works may overlap with investment recommendations made to MCM's clients. To address this potential conflict, MCM maintains a strict policy of full disclosure to clients regarding any potential conflicts of interest. Additionally, MCM ensures that all investment recommendations are made solely in clients' best interest, regardless of any relationship with other entities. Neither MCM nor Mr. Faulkner receives any commissions or other forms of compensation on the sale of securities or other investment products in this role.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Ray Faulkner'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®
NoneExperience
Current
August 9, 2024 - Present
SAILCREST CAPITAL MANAGEMENT LLC
Office #1: 155 N Riverview Dr, Ste 213, Anaheim, CA 92808RIA
CRD#: 331486
ANAHEIM, CA
Past
January 22, 2009 - April 22, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
NEWPORT NEWS, VA
Past
November 10, 2008 - April 22, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEWPORT NEWS, VA
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
California(8/9/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SC
SAILCREST CAPITAL MANAGEMENT LLC
MARINERS CAPITAL MANAGEMENT | SAILCREST CAPITAL MANAGEMENT LLC | MARINERS CAPITAL MANAGEMENT LLC
CRD#: 331486 / SEC#:
California
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Contact information
Main Address
155 N Riverview Dr, Ste 213, Anaheim, CA 92808
Mailing Address
Phone number
(949) 549-5400
Established
Firm type
Fiscal year end
# of Employees
1
Red Flags
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