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Mark Merlet

Fnex Capital, LLC

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About Mark Merlet

Mark Merlet is a financial professional with over 17 years of experience in the industry. Mark is currently registered with Fnex Capital, LLC and is licensed to provide investment advice in Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, South Dakota, and Wisconsin. Mark has held previous positions at Locorr Distributors, LLC, ALPS Distributors, Inc., ALPS Portfolio Solutions Distributor, Inc., ABN AMRO Distribution Services (USA), Inc., PFPC Distributors, Inc., National Planning Corporation, Heartland Advisors, Inc., and Kemper Clearing Corp.

Firm Information

Mark Merlet is currently registered with Fnex Capital, LLC. Fnex Capital, LLC is a Limited Liability Company formed in June 2012. It is registered in all 50 states and the District of Columbia and has received SEC registration approval.

Not reported

Assets Under Management

Not reported

Total Clients

87

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Mark Merlet’s Registration & Firm History

IN

05/03/2024 - Present

Fnex Capital, LLC (INDIANAPOLIS IN)

MN

02/22/2021 - 08/08/2023

LOCORR DISTRIBUTORS, LLC (EXCELSIOR MN)

CO

01/03/2017 - 10/30/2018

ALPS DISTRIBUTORS, INC. (DENVER CO)

CO

02/18/2016 - 12/31/2016

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC. (DENVER CO)

WI

09/24/2011 - 07/16/2015

ALPS DISTRIBUTORS, INC. (MILWAUKEE WI)

ME

01/02/2002 - 09/17/2004

ABN AMRO DISTRIBUTION SERVICES (USA), INC. (PORTLAND ME)

ME

03/21/2001 - 01/02/2002

PFPC DISTRIBUTORS, INC. (PORTLAND ME)

CA

02/19/1999 - 01/25/2001

NATIONAL PLANNING CORPORATION (LOS ANGELES CA)

WI

11/27/1995 - 11/25/1998

HEARTLAND ADVISORS, INC. (MILWAUKEE WI)

WI

01/12/1995 - 07/25/1995

KEMPER CLEARING CORP. (MILWAUKEE WI)

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Licenses & Designations

BC

Issued 04/09/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/22/2021

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/23/2011

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 02/12/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mark Merlet.
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