Sheldon Maschler
Professional summary
Sheldon Maschler was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sheldon is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Sheldon had worked at 3 firms, which includes ICAPITAL MARKETS LLC, RUSSO SECURITIES INC., FIRST JERSEY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 1993 - February 13, 1997
ICAPITAL MARKETS LLC
May 14, 1987 - July 23, 1987
RUSSO SECURITIES INC.
January 17, 1982 - January 30, 1987
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 1/3/1969
Registered Representative ExaminationCurrent Firm
ICAPITAL MARKETS LLC
CRD#: 5209 / SEC#: , 8-23769
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DATEK ONLINE HOLDINGS CORP. | PARENT CORP. | |
| BRENNAN, MICHAEL RAYMOND | CROP,SVP,SROP | 1305900 |
| DUHOVIC, JERRY VICTOR | SVP/COMPLIANCE OFFICER | 2123754 |
| HALVORSON, KURT DAVID | MANAGER | 1764312 |
| LANGNER, CAROLINE FRANCES | COMPLIANCE OFFICER | 3073124 |
| MACDONALD, JOHN RANALD | MANAGER, FINOP, CFO | 2540475 |
| MOGLIA, JOSEPH HUGH | MANAGER | 1302369 |
| RICKETTS, JOHN PETER | SVP, SECRETARY | 2446207 |
| YATES, WILLIAM THOMAS | PRESIDENT | 2749545 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 10 |
Red Flags
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