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JW

John R. Williams

ICAPITAL MARKETS LLC
New York, NY 10165
Some features on this profile are disabled
CRD#: 3076525
JW

Professional summary

John Ryan Williams, ChFC®, CLU® is a registered financial professional currently at ICAPITAL MARKETS LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1998. John has worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 6 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 John Ryan Williams'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®
ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Current

February 21, 2024 - Present

ICAPITAL MARKETS LLC

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

July 9, 2009 - February 21, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

July 9, 2009 - February 21, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

March 24, 2009 - July 9, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 13787
CHARLOTTE, NC
Past

September 21, 2004 - May 17, 2012

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

March 23, 2001 - July 6, 2004

BACAP DISTRIBUTORS, LLC

BD
CRD#: 46088
CHARLOTTE, NC
Past

March 22, 1999 - October 26, 2001

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

September 23, 1998 - October 14, 1998

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT

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
Delaware
(5/24/2024)
RR
District of Columbia
(5/24/2024)
RR
Georgia
(5/24/2024)
RR
Kansas
(5/24/2024)
RR
Maryland
(5/24/2024)
RR
New Jersey
(5/24/2024)
RR
New York
(2/21/2024)
RR
North Carolina
(5/24/2024)
RR
South Carolina
(5/24/2024)
RR
Virginia
(5/24/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/23/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/17/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/6/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/19/2000
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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