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SK

Seth A. Klein

ICAPITAL MARKETS LLC
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 2456586
SK

Professional summary

Seth Adam Klein, who also goes by Seth A Klein, is a registered financial professional currently at ICAPITAL MARKETS LLC located in Boca Raton, Florida.

Seth is registered as a RR (Registered Representative) and started their career in finance in 1994. Seth has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Seth A Klein

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 Seth Adam Klein'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

September 14, 2018 - Present

ICAPITAL MARKETS LLC

Office #1: 2500 North Military Trail Suite 125, Boca Raton, FL 33431
BD
CRD#: 118219
Boca Raton, FL
Past

April 10, 2006 - September 13, 2018

INSPEREX LLC

BD
CRD#: 101420
BOCA RATON, FL
Past

August 30, 2005 - March 24, 2006

LASALLE FINANCIAL SERVICES, INC.

RIA
CRD#: 20373
NORRIDGE, IL
Past

January 25, 2002 - March 24, 2006

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
NORRIDGE, IL
Past

December 11, 2001 - January 29, 2002

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

October 2, 2000 - December 13, 2001

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

December 2, 1996 - December 3, 1998

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

August 12, 1994 - October 4, 1996

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
(5/21/2024)
RR
Alaska
(5/21/2024)
RR
Arizona
(5/21/2024)
RR
Arkansas
(5/21/2024)
RR
California
(5/21/2024)
RR
Colorado
(5/21/2024)
RR
Connecticut
(5/21/2024)
RR
Delaware
(5/21/2024)
RR
District of Columbia
(5/21/2024)
RR
Florida
(9/14/2018)
RR
Georgia
(5/21/2024)
RR
Hawaii
(5/21/2024)
RR
Idaho
(5/21/2024)
RR
Illinois
(5/21/2024)
RR
Indiana
(5/21/2024)
RR
Iowa
(5/21/2024)
RR
Kansas
(5/21/2024)
RR
Kentucky
(5/21/2024)
RR
Louisiana
(5/21/2024)
RR
Maine
(5/21/2024)
RR
Maryland
(5/21/2024)
RR
Massachusetts
(5/21/2024)
RR
Michigan
(5/21/2024)
RR
Minnesota
(5/21/2024)
RR
Mississippi
(5/21/2024)
RR
Missouri
(5/21/2024)
RR
Montana
(5/21/2024)
RR
Nebraska
(5/21/2024)
RR
Nevada
(5/21/2024)
RR
New Hampshire
(5/21/2024)
RR
New Jersey
(5/21/2024)
RR
New Mexico
(5/21/2024)
RR
New York
(9/14/2018)
RR
North Carolina
(5/21/2024)
RR
North Dakota
(5/21/2024)
RR
Ohio
(5/21/2024)
RR
Oklahoma
(5/21/2024)
RR
Oregon
(5/21/2024)
RR
Pennsylvania
(5/21/2024)
RR
Rhode Island
(5/21/2024)
RR
South Carolina
(5/21/2024)
RR
South Dakota
(5/21/2024)
RR
Tennessee
(5/21/2024)
RR
Texas
(5/21/2024)
RR
Utah
(5/21/2024)
RR
Vermont
(5/21/2024)
RR
Virginia
(5/21/2024)
RR
Washington
(5/21/2024)
RR
West Virginia
(5/21/2024)
RR
Wisconsin
(5/21/2024)
RR
Wyoming
(5/21/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/15/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/22/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/24/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/15/1995
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/24/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/2/1998
General Securities Principal 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#: 118219Boca Raton, FL 33431

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