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AW

Anthony J. Wilson

ICAPITAL MARKETS LLC
Alamo, CA 94507
Some features on this profile are disabled
CRD#: 2117839
AW

Professional summary

Anthony James Wilson is a registered financial professional currently at ICAPITAL MARKETS LLC located in Alamo, California.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 1996. Anthony has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 2 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Anthony James Wilson'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: 3195 Danville Blvd Suite 700, Alamo, CA 94507
BD
CRD#: 118219
Alamo, CA
Past

November 8, 2016 - November 30, 2023

ICAPITAL SECURITIES, LLC

BD
CRD#: 171061
Alamo, CA
Past

October 29, 2015 - October 18, 2016

MORGAN CREEK CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 154377
CHAPEL HILL, NC
Past

March 23, 2015 - November 6, 2015

NEXBANK SECURITIES INC

BD
CRD#: 133267
DALLAS, TX
Past

January 2, 2014 - November 6, 2015

NEXPOINT SECURITIES, INC.

BD
CRD#: 165013
DALLAS, TX
Past

April 15, 2013 - December 31, 2013

NEXBANK SECURITIES INC

BD
CRD#: 133267
DALLAS, TX
Past

November 17, 2010 - April 16, 2013

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

September 23, 2009 - June 18, 2010

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

January 3, 2006 - August 26, 2009

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

August 23, 2002 - December 31, 2005

CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.

BD
CRD#: 40644
JENKINTOWN, PA
Past

February 15, 2002 - March 25, 2002

SYNDICATED CAPITAL, INC.

BD
CRD#: 29037
DIAMOND BAR, CA
Past

April 11, 1996 - January 23, 1999

FIRST FUND DISTRIBUTORS, INC.

BD
CRD#: 27038
PHOENIX, AZ

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
(6/4/2024)
RR
Alaska
(11/30/2023)
RR
Arizona
(11/30/2023)
RR
Arkansas
(6/4/2024)
RR
California
(11/30/2023)
RR
Colorado
(11/30/2023)
RR
Connecticut
(6/4/2024)
RR
Delaware
(6/4/2024)
RR
District of Columbia
(6/4/2024)
RR
Florida
(6/4/2024)
RR
Georgia
(6/4/2024)
RR
Hawaii
(11/30/2023)
RR
Idaho
(11/30/2023)
RR
Illinois
(6/4/2024)
RR
Indiana
(6/4/2024)
RR
Iowa
(6/4/2024)
RR
Kansas
(6/4/2024)
RR
Kentucky
(6/4/2024)
RR
Louisiana
(6/4/2024)
RR
Maine
(6/4/2024)
RR
Maryland
(6/4/2024)
RR
Massachusetts
(6/4/2024)
RR
Michigan
(6/4/2024)
RR
Minnesota
(6/4/2024)
RR
Mississippi
(6/4/2024)
RR
Missouri
(6/4/2024)
RR
Montana
(11/30/2023)
RR
Nebraska
(6/4/2024)
RR
Nevada
(11/30/2023)
RR
New Hampshire
(6/4/2024)
RR
New Jersey
(6/4/2024)
RR
New Mexico
(11/30/2023)
RR
New York
(11/30/2023)
RR
North Carolina
(6/4/2024)
RR
North Dakota
(6/4/2024)
RR
Ohio
(6/4/2024)
RR
Oklahoma
(6/4/2024)
RR
Oregon
(11/30/2023)
RR
Pennsylvania
(6/4/2024)
RR
Rhode Island
(6/4/2024)
RR
South Carolina
(6/4/2024)
RR
South Dakota
(6/4/2024)
RR
Tennessee
(6/4/2024)
RR
Texas
(11/30/2023)
RR
Utah
(11/30/2023)
RR
Vermont
(6/4/2024)
RR
Virginia
(6/4/2024)
RR
Washington
(11/30/2023)
RR
West Virginia
(6/4/2024)
RR
Wisconsin
(6/4/2024)
RR
Wyoming
(11/30/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/30/2004
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/8/1994
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/11/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/27/1995
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 2
Date: 2/8/1994
Non-Member General Securities 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#: 118219Alamo, CA 94507

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