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David L. Falter
MCAP LLC
ORLANDO, FL 32801
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CRD#: 7081450
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Professional summary
David Leo Falter is a registered financial professional currently at MCAP LLC located in Orlando, Florida.
David is registered as a RR (Registered Representative) and started their career in finance in 2020. David has worked at 1 firm and has passed the Series 7TO and SIE exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view David Leo Falter'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
December 14, 2020 - Present
MCAP LLC
Office #1: 390 N. Orange Avenue Suite 2700, Orlando, FL 32801BD
CRD#: 139515
ORLANDO, FL
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
Florida(11/29/2023)
Exams
General Industry/Product Exam
RR
Series 7TO
Date: 12/14/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
ML
MCAP LLC
EQUISEARCH SECURITIES, INC. | MCAP LLC | MADISON CAPITAL MARKETS, LLC | MADISON CAPITAL MARKETS, INC.
CRD#: 139515 / SEC#: , 8-67217
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
100 Park Avenue Suite 2201, New York, NY 10017
Mailing Address
100 Park Avenue Suite 2201, New York, NY 10017
Phone number
(212) 750-1056
Established
Delaware since 11/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (19 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
