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SH

Stephen H. Houston

ICAPITAL MARKETS LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 1988668
SH

Professional summary

Stephen Henry Houston, who also goes by Stephen H Houston, is a registered financial professional currently at ICAPITAL MARKETS LLC located in Greenwich, Connecticut.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1989. Stephen has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen H Houston

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Henry Houston'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®
None

Experience

Current

November 30, 2023 - Present

ICAPITAL MARKETS LLC

Office #1: 2 Greenwich Plaza 4th Floor, Greenwich, CT 06830
BD
CRD#: 118219
Greenwich, CT
Past

October 27, 2021 - November 30, 2023

ICAPITAL SECURITIES, LLC

BD
CRD#: 171061
NEW YORK, NY
Past

December 20, 2019 - April 26, 2021

COWEN PRIME SERVICES LLC

BD
CRD#: 153397
Darien,, CT
Past

April 18, 2018 - April 26, 2021

ALAIA CAPITAL, LLC

RIA
CRD#: 226775
DARIEN, CT
Past

June 6, 2017 - December 20, 2019

BEECH HILL SECURITIES, INC.

BD
CRD#: 24771
Darien, CT
Past

December 4, 2015 - April 7, 2017

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
NEW YORK, NY
Past

December 4, 2015 - April 7, 2017

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
NEW YORK, NY
Past

November 4, 2009 - December 4, 2015

BARCLAYS CAPITAL INC.

RIA
CRD#: 19714
NEW YORK, NY
Past

October 28, 2009 - December 4, 2015

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

May 18, 2009 - August 13, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

October 14, 2006 - October 13, 2009

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

BD
CRD#: 16139
NEW YORK, NY
Past

July 27, 2004 - October 13, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

July 30, 1999 - October 13, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 28, 1999 - September 24, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

September 19, 1989 - August 11, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
Alabama
(11/30/2023)
RR
Alaska
(11/30/2023)
RR
Arizona
(11/30/2023)
RR
Arkansas
(11/30/2023)
RR
California
(11/30/2023)
RR
Colorado
(11/30/2023)
RR
Connecticut
(11/30/2023)
RR
Delaware
(11/30/2023)
RR
District of Columbia
(11/30/2023)
RR
Florida
(11/30/2023)
RR
Georgia
(11/30/2023)
RR
Hawaii
(11/30/2023)
RR
Idaho
(11/30/2023)
RR
Illinois
(11/30/2023)
RR
Indiana
(11/30/2023)
RR
Iowa
(11/30/2023)
RR
Kansas
(11/30/2023)
RR
Kentucky
(11/30/2023)
RR
Louisiana
(11/30/2023)
RR
Maine
(11/30/2023)
RR
Maryland
(11/30/2023)
RR
Massachusetts
(11/30/2023)
RR
Michigan
(11/30/2023)
RR
Minnesota
(11/30/2023)
RR
Mississippi
(11/30/2023)
RR
Missouri
(11/30/2023)
RR
Montana
(11/30/2023)
RR
Nebraska
(11/30/2023)
RR
Nevada
(11/30/2023)
RR
New Hampshire
(11/30/2023)
RR
New Jersey
(11/30/2023)
RR
New Mexico
(11/30/2023)
RR
New York
(11/30/2023)
RR
North Carolina
(11/30/2023)
RR
North Dakota
(11/30/2023)
RR
Ohio
(11/30/2023)
RR
Oklahoma
(11/30/2023)
RR
Oregon
(11/30/2023)
RR
Pennsylvania
(11/30/2023)
RR
Puerto Rico
(11/30/2023)
RR
Rhode Island
(11/30/2023)
RR
South Carolina
(11/30/2023)
RR
South Dakota
(11/30/2023)
RR
Tennessee
(11/30/2023)
RR
Texas
(11/30/2023)
RR
Utah
(11/30/2023)
RR
Vermont
(11/30/2023)
RR
Virgin Islands
(6/11/2024)
RR
Virginia
(11/30/2023)
RR
Washington
(11/30/2023)
RR
West Virginia
(11/30/2023)
RR
Wisconsin
(11/30/2023)
RR
Wyoming
(11/30/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/24/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/14/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/27/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/9/2024
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/28/2005
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/18/2004
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

IM
ICAPITAL MARKETS LLC
AXIO FINANCIAL LLC | SCURA, RISE & PARTNERS SECURITIES, LLC | SCURA PARTNERS SECURITIES LLC | SCURA PALEY SECURITIES LLC | ICAPITAL MARKETS LLC

CRD#: 118219 / SEC#: , 8-53640

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
60 East 42nd Street 26th Floor, New York, NY 10165
Mailing Address
60 East 42nd Street 26th Floor, New York, NY 10165
Phone number
(646) 520-2020
Established
Delaware since 08/13/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ICAPITAL MARKETS HOLDING LLCPARENT
GEORGE, THOMAS KEITHFINOP5378303
HOUSTON, STEPHEN HENRYHEAD OF BROKER DEALER1988668
MORGAN, COURTNEYCHIEF COMPLIANCE OFFICER6384535

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.

Company Information

ICAPITAL MARKETS LLC

CRD#: 118219Greenwich, CT 06830

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