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JM

Jared D. Malbin

LUCID CAPITAL MARKETS
New York, NY 10022
Some features on this profile are disabled
CRD#: 3090059
JM

Professional summary

Jared David Malbin, who also goes by Jared Malbin, Jared David Malbin, is a registered financial professional currently at LUCID CAPITAL MARKETS, LLC located in New York, New York.

Jared is registered as a RR (Registered Representative) and started their career in finance in 2000. Jared has worked at 10 firms and has passed the Series 63, Series 82TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 25, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jared Malbin | Jared David Malbin

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 Jared David Malbin's CRS (Customer Relationship Summary).
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

April 16, 2024 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: 570 Lexington Avenue 40th Fl., New York, NY 10022
BD
CRD#: 140345
New York, NY
Past

May 26, 2020 - August 31, 2021

CSNR SERVICES, LLC

BD
CRD#: 282085
ST. THOMAS, VI
Past

April 18, 2018 - June 18, 2019

CLEAR STREET LLC

BD
CRD#: 288933
New York, NY
Past

April 23, 2015 - May 9, 2019

SUMMIT SECURITIES GROUP LLC

BD
CRD#: 159283
NEW YORK, NY
Past

April 2, 2013 - February 23, 2015

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC

BD
CRD#: 135131
NEW YORK, NY
Past

October 13, 2011 - July 3, 2012

AVATAR SECURITIES, LLC

BD
CRD#: 147763
NEW YORK, NY
Past

October 29, 2007 - May 4, 2010

ABN AMRO CLEARING USA LLC

BD
CRD#: 14020
CHICAGO, IL
Past

October 5, 2004 - April 26, 2011

LIVERMORE TRADING GROUP, INC.

BD
CRD#: 32968
NEW YORK, NY
Past

February 13, 2002 - August 11, 2004

FIRST NEW YORK SECURITIES L.L.C.

BD
CRD#: 16362
NEW YORK, NY
Past

October 1, 2000 - August 15, 2002

LIVERMORE TRADING GROUP, INC.

BD
CRD#: 32968
NEW YORK, NY
Past

July 17, 2000 - February 12, 2002

LIGHTSPEED PROFESSIONAL TRADING LLC

BD
CRD#: 39293
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: 8/18/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 4/16/2024
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 7/31/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/14/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 25
Date: 9/21/1999
NYSE Trading Assistant Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/27/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/22/2004
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

LC
LUCID CAPITAL MARKETS, LLC
AMERICAS EXECUTIONS | SURKIS, BARRY NMN | SURKIS, BARRY | SURKIS INCORPORATED | LUCID CAPITAL MARKETS, LLC | LUCID CAPITAL MARKETS LLC. | LUCID CAPITAL MARKETS | AMERX | AMERICAS EXECUTIONS, LLC | AMERICAS EXECUTIONS, INC.

CRD#: 140345 / SEC#: , 8-67305

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

Main Address
New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038
Phone number
(212) 306-2700
Established
New York since 06/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 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#
GI4 HOLDINGS, LLCSOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL1616912
SHAPIRO, ANDREW JAYCHIEF COMPLIANCE OFFICER1104658
TANIOS, FADYCEO4213894
YANNOTTI, ALEXANDER ANTHONYFINANCIAL OPERATIONS PRINCIPAL1333893

Disclosures

Regulatory Event1

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

LUCID CAPITAL MARKETS, LLC

CRD#: 140345New York, NY 10022

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