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KE

Kevin K. Ellich

Some features on this profile are disabled
CRD#: 3096825
KE

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kevin Kim Ellich was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 2000. Kevin had worked at 10 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 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)

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

March 30, 2021 - April 26, 2022

ICR CAPITAL LLC

BD
CRD#: 174952
BALTIMORE, MD
Past

February 27, 2017 - December 5, 2019

CRAIG-HALLUM CAPITAL GROUP LLC

BD
CRD#: 121395
MINNEAPOLIS, MN
Past

April 25, 2011 - March 29, 2016

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

January 12, 2011 - April 21, 2011

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
MINNETONKA, MN
Past

February 29, 2008 - December 17, 2010

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
MINNEAPOLIS, MN
Past

December 12, 2006 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
MINNEAPOLIS, MN
Past

January 9, 2006 - December 6, 2006

MILLER JOHNSON STEICHEN KINNARD, INC.

BD
CRD#: 694
MINNEAPOLIS, MN
Past

July 1, 2003 - March 3, 2004

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

September 24, 2002 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

April 26, 2000 - July 24, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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: 11/25/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 2/27/2006
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 1/19/2006
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 3/1/2000
General Securities Representative Examination

Current Firm

IC
ICR CAPITAL LLC
ICR CAPITAL LLC

CRD#: 174952 / SEC#: , 8-69583

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

Main Address
761 Main Avenue, Norwalk, CT 06851-1080
Mailing Address
761 Main Avenue, Norwalk, CT 06851-1080
Phone number
(203) 682-8200
Established
Connecticut since 12/02/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BLUE POINT INTERMEDIATE, LLCSOLE MEMBER
GRAY, BENJAMIN NMNCCO1946982
GRIMM, LINDA STEINMANNFINOP/PFO/POO1970620
MCDONALD, DOUGLAS JCEO6034863

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

ICR CAPITAL LLC

CRD#: 174952

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