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Emmett Patrick Hines Iii

CRD# 1558969·Registered 1986 - 2021
Previously Registered: Being a previously registered professional could mean that Emmett 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.

Professional Summary

Emmett Patrick Hines III, who also goes by Emmet Patrick Hines III, Emmett Patrick Hines, Emmett Hines, Pat Hines, was a registered financial advisor. Emmett was a previously registered financial professional and started their career in finance 1986 - 2021. Emmett had worked at 10 firms and has passed the Series 63, Series 72, SIE and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Emmet Patrick Hines Iii, Emmett Patrick Hines, Emmett Hines, Pat Hines

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

ICD SECURITIES INC.·CRD# 134910
BD
San Diego, CA
December 15, 2011 - March 4, 2021
CERT DIRECT SECURITIES INC.·CRD# 137113
BD
New York, NY
October 11, 2007 - January 30, 2012
BROOKSTREET SECURITIES CORPORATION·CRD# 14667
BD
Dana Point, CA
August 19, 2005 - October 18, 2006
GILL CAPITAL PARTNERS, LLC·CRD# 14559
BD
Denver, CO
March 3, 2003 - December 31, 2004
SOUTHEASTERN SECURITIES, INC.·CRD# 35502
BD
Miami, FL
August 18, 1998 - February 19, 2003
GILL CAPITAL PARTNERS, LLC·CRD# 14559
BD
Denver, CO
October 11, 1995 - December 23, 1997
GLOBALVEST SECURITIES, (USA), INC·CRD# 15458
BD
Clearwater, FL
August 14, 1992 - September 26, 1995
ROTH CAPITAL PARTNERS, LLC·CRD# 15407
BD
Newport Beach, CA
July 12, 1991 - August 10, 1992
THE TRADING DESK, INC.·CRD# 22908
BD
March 27, 1989 - October 16, 1991
MESA SECURITIES CORPORATION·CRD# 15206
BD
April 6, 1988 - April 5, 1989
LPL FINANCIAL LLC·CRD# 6413
BD
December 11, 1986 - April 16, 1988

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Current Firm

IS
ICD SECURITIES INC.

ICD SECURITIES INC.

CRD#: 134910 / SEC#: 8-66870
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

7301 Sw 57th Court Suite 400, Miami, FL 33143

Mailing Address

7301 Sw 57th Court Suite 400, Miami, FL 33143

Phone Number

(305) 669-5168

Established

Florida since 11/19/2004

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (22 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARMA, VINCENT JOSEPHPRESIDENT/ DIRECTOR1531677
GALLELI, RACHEL ANNPART-OWNER4957712
BENGHIAT, RITA MARIASHAREHOLDER6230732
BENGHIAT, TEDCCO/PRINCIPAL/FINOP/REGISTERED REPRESENTATIVE/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER1113384

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1992About the Series 63 exam

Series 72 — Government Securities Representative Examination

Passed Jan 2023

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Aug 1986About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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