Scott P. Spilkevitz

ICAPITAL MARKETS LLC

New York, NY 10165

Some features on this profile are disabled

CRD#: 2104925

Professional summary

Scott Perry Spilkevitz, who also goes by Scott Sinclair, is a registered financial professional currently at ICAPITAL MARKETS LLC located in New York, New York.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1991. Scott has worked at 12 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 14, Series 10, Series 4, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott Sinclair

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 Scott Perry Spilkevitz'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

August 1, 2025 - Present

ICAPITAL MARKETS LLC

Office #1: 60 East 42nd Street 26th Floor, New York, NY 10165

CRD#: 118219

New York, NY

Past

January 20, 2017 - July 28, 2025

CITI PRIVATE ALTERNATIVES, LLC

CRD#: 153777

NEW YORK, NY

Past

April 29, 2010 - July 28, 2025

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 19, 2009 - April 28, 2010

B. RILEY SECURITIES, INC.

CRD#: 25027

NEW YORK, NY

Past

June 9, 2005 - March 26, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 2, 1997 - March 4, 2005

HD BROUS & CO., INC.

CRD#: 22062

GREAT NECK, NY

Past

January 17, 1997 - April 14, 1997

JARON EQUITIES CORP.

CRD#: 5764

HICKSVILLE, NY

Past

March 18, 1996 - November 26, 1996

PARAGON CAPITAL MARKETS, INC.

CRD#: 18555

EAST HANOVER, NJ

Past

March 4, 1996 - March 18, 1996

SUNPOINT SECURITIES, INC.

CRD#: 25442

LONGVIEW, TX

Past

February 9, 1996 - March 15, 1996

PARAMOUNT INVESTMENTS INTERNATIONAL, INC.

CRD#: 30898

DENVER, CO

Past

December 19, 1992 - February 26, 1996

S. B. CANTOR & CO., INC.

CRD#: 1384

NEW YORK, NY

Past

May 29, 1992 - December 2, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 8, 1991 - June 11, 1992

D. H. BLAIR & CO., INC.

CRD#: 6833

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(8/1/2025)

Exams

State Security Law Exam

Series 63

Date: 11/7/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/19/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/1/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 4

Date: 12/18/2009

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 11/7/1995

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/23/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Direct owners and executive officers

Name	Position	CRD#
ICAPITAL MARKETS HOLDING LLC	PARENT
GEORGE, THOMAS KEITH	FINOP	5378303
HOUSTON, STEPHEN HENRY	HEAD OF BROKER DEALER	1988668
MORGAN, COURTNEY	CHIEF COMPLIANCE OFFICER	6384535

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott P. Spilkevitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Perry Spilkevitz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITI PRIVATE ALTERNATIVES, LLC

CITIGROUP GLOBAL MARKETS INC.

B. RILEY SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

HD BROUS & CO., INC.

JARON EQUITIES CORP.

PARAGON CAPITAL MARKETS, INC.

SUNPOINT SECURITIES, INC.

PARAMOUNT INVESTMENTS INTERNATIONAL, INC.

S. B. CANTOR & CO., INC.

LEHMAN BROTHERS INC.

D. H. BLAIR & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/7/1990

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/19/1999

Series 7

Date: 11/1/1990

Series 14

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 4

Date: 12/18/2009

Series 27

Date: 11/7/1995

Series 24

Date: 8/23/1995

FINRA

Current Firm

ICAPITAL MARKETS LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ICAPITAL MARKETS LLC

TRUST BUT VERIFY

Similar Advisors