John-michael Brack
Professional summary
John-michael Brack was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John-michael is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, John-michael had worked at 2 firms, which includes ICAPITAL MARKETS LLC, CIBC WORLD MARKETS CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 1997 - April 11, 2001
ICAPITAL MARKETS LLC
October 16, 1996 - April 16, 1997
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 7/12/1999
Limited Representative-Equity Trader ExamCurrent Firm
ICAPITAL MARKETS LLC
CRD#: 5209 / SEC#: , 8-23769
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DATEK ONLINE HOLDINGS CORP. | PARENT CORP. | |
| BRENNAN, MICHAEL RAYMOND | CROP,SVP,SROP | 1305900 |
| DUHOVIC, JERRY VICTOR | SVP/COMPLIANCE OFFICER | 2123754 |
| HALVORSON, KURT DAVID | MANAGER | 1764312 |
| LANGNER, CAROLINE FRANCES | COMPLIANCE OFFICER | 3073124 |
| MACDONALD, JOHN RANALD | MANAGER, FINOP, CFO | 2540475 |
| MOGLIA, JOSEPH HUGH | MANAGER | 1302369 |
| RICKETTS, JOHN PETER | SVP, SECRETARY | 2446207 |
| YATES, WILLIAM THOMAS | PRESIDENT | 2749545 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 10 |
Red Flags
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