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KF

Keith V. Freiband

ICAPITAL MARKETS LLC
New York, NY 10165
Some features on this profile are disabled
CRD#: 2512732
KF

Professional summary

Keith Vincent Freiband is a registered financial professional currently at ICAPITAL MARKETS LLC located in New York, New York.

Keith is registered as a RR (Registered Representative) and started their career in finance in 1994. Keith has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 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 Keith Vincent Freiband'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

March 22, 2021 - Present

ICAPITAL MARKETS LLC

Office #1: 60 East 42nd Street 26th Floor, New York, NY 10165
BD
CRD#: 118219
New York, NY
Past

January 14, 2014 - February 23, 2021

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
YARDLEY, PA
Past

May 4, 2009 - January 10, 2014

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
YARDLEY, PA
Past

May 4, 2009 - February 23, 2021

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
PRINCETON, NJ
Past

December 9, 2008 - May 5, 2009

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
BALA CYNWYD, PA
Past

December 12, 2007 - May 21, 2008

W.R. HAMBRECHT + CO., LLC

RIA
CRD#: 45040
BERWYN, PA
Past

July 18, 2002 - May 21, 2008

W.R. HAMBRECHT + CO., LLC

BD
CRD#: 45040
BERWYN, PA
Past

April 22, 1999 - July 17, 2002

NF CLEARING, INC.

BD
CRD#: 14285
PHILADELPHIA, PA
Past

March 4, 1997 - June 15, 1998

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

September 28, 1994 - January 14, 1997

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

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
Connecticut
(5/24/2024)
RR
Delaware
(5/24/2024)
RR
Georgia
(5/24/2024)
RR
Maine
(5/24/2024)
RR
Maryland
(5/24/2024)
RR
Massachusetts
(5/24/2024)
RR
New Hampshire
(5/24/2024)
RR
New Jersey
(5/24/2024)
RR
New York
(3/22/2021)
RR
North Carolina
(5/24/2024)
RR
Pennsylvania
(3/22/2021)
RR
Rhode Island
(5/24/2024)
RR
Tennessee
(5/24/2024)
RR
Texas
(5/24/2024)
RR
Vermont
(5/24/2024)
RR
West Virginia
(5/24/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/3/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/13/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/24/2008
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/14/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/12/2000
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#: 118219New York, NY 10165

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