Fredrick N. Balbi
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Fredrick Nicholas Balbi, who also goes by Fredrick N Balbi, was a registered financial professional .
Fredrick is a previously registered financial professional and started their career in finance in 1985. Fredrick had worked at 6 firms and has passed the Series 63, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 1998 - October 1, 1998
ICAPITAL MARKETS LLC
April 20, 1998 - October 1, 1998
HEARTLAND SECURITIES CORP.
April 17, 1997 - April 30, 1998
ICAPITAL MARKETS LLC
November 2, 1990 - October 26, 1992
MAX SCHONBERG & CO. INC.
September 22, 1988 - February 1, 1996
ICAPITAL MARKETS LLC
May 2, 1988 - June 6, 1988
DEUTSCHE IXE, LLC
June 20, 1987 - February 1, 1996
ICAPITAL MARKETS LLC
May 13, 1987 - June 3, 1987
RUSSO SECURITIES INC.
March 18, 1985 - January 20, 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 28
Date: 4/26/1990
Introducing Broker/Dealer Financial Operations Principal 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
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.
