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IK

Ian C. Kass

Some features on this profile are disabled
CRD#: 2534828
IK

Professional summary

Ian Charles Kass was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ian is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Ian had worked at 18 firms, which includes WILSON-DAVIS & CO. INC., DELANEY EQUITY GROUP LLC, GORDON & CO., TRANSCEND CAPITAL, LIGHTHOUSE FINANCIAL GROUP LLC, PARK FINANCIAL GROUP INC., VIEWTRADE SECURITIES INC., STG SECURE TRADING GROUP INC., JERSEY SHORE TRADING GROUP INC., U.S. CAPITAL PARTNERS INC., LAMPOST CAPITAL L.C., PROGRAM TRADING CORP., HUDSON SECURITIESINC., J.P.R. CAPITAL CORP., GKN SECURITIES CORP., GRUNTAL & CO. L.L.C., LADENBURG THALMANN & CO. INC., SANDS BROTHERS & CO. LTD..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ian C Kass

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 24, 2012 - July 29, 2016

WILSON-DAVIS & CO., INC.

BD
CRD#: 3777
Ft. Lauderdale, FL
Past

July 8, 2011 - December 15, 2011

DELANEY EQUITY GROUP LLC

BD
CRD#: 142285
WEST PALM BEACH, FL
Past

May 23, 2011 - June 23, 2011

GORDON & CO.

BD
CRD#: 11391
WATERTOWN, MA
Past

August 4, 2010 - January 10, 2011

TRANSCEND CAPITAL

BD
CRD#: 104483
AUSTIN, TX
Past

May 3, 2010 - May 24, 2011

DELANEY EQUITY GROUP LLC

BD
CRD#: 142285
WEST PALM BEACH, FL
Past

April 9, 2009 - April 30, 2010

LIGHTHOUSE FINANCIAL GROUP, LLC

BD
CRD#: 103734
BOCA RATON, FL
Past

October 30, 2008 - April 27, 2009

PARK FINANCIAL GROUP, INC.

BD
CRD#: 30582
BOCA RATON, FL
Past

July 10, 2007 - November 3, 2008

VIEWTRADE SECURITIES, INC.

BD
CRD#: 46987
BOCA RATON, FL
Past

May 19, 2006 - July 16, 2007

STG SECURE TRADING GROUP, INC.

BD
CRD#: 41216
BOCA RATON, FL
Past

October 24, 2005 - May 16, 2006

JERSEY SHORE TRADING GROUP INC.

BD
CRD#: 47440
BOCA RATON, FL
Past

June 2, 2004 - November 2, 2005

U.S. CAPITAL PARTNERS, INC.

BD
CRD#: 120751
BOCA RATON, FL
Past

September 18, 2003 - June 18, 2004

LAMPOST CAPITAL, L.C.

BD
CRD#: 43706
BOCA RATON, FL
Past

November 9, 2001 - September 12, 2003

PROGRAM TRADING CORP.

BD
CRD#: 36740
BOCA RATON, FL
Past

August 6, 1998 - October 22, 2001

HUDSON SECURITIES,INC.

BD
CRD#: 10467
JERSEY CITY, NJ
Past

September 11, 1997 - August 12, 1998

J.P.R. CAPITAL CORP.

BD
CRD#: 38056
SYOSSET, NY
Past

June 5, 1996 - August 21, 1997

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

May 8, 1995 - June 6, 1996

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

December 6, 1994 - May 18, 1995

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

September 13, 1994 - December 20, 1994

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/16/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/29/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/2/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/11/1994
General Securities Representative Examination

Current Firm

W&
WILSON-DAVIS & CO., INC.
WILSON-DAVIS & CO., INC.

CRD#: 3777 / SEC#: , 8-14299

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

Main Address
236 South Main Street, Salt Lake City, UT 84101-2104
Mailing Address
P.o. Box 11587, Salt Lake City, UT 84147-0587
Phone number
(801) 532-1313
Established
Utah since 11/12/1968
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ATLASCLEAR HOLDINGS, INC.OWNER
EGGERTZ, LINCOLN TYLERCHIEF COMPLIANCE OFFICER | CHIEF AML COMPLIANCE OFFICER7336125
LOSSER, JANA MARIEPRINCIPAL OPERATIONS OFFICER4562682
SIME, JEFFREY NORMANPRINCIPAL FINANCIAL OFFICER1554798
SIME, JEFFREY NORMANCEO1554798

Disclosures

Regulatory Event57
Arbitration1

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

WILSON-DAVIS & CO., INC.

CRD#: 3777

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