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KT

Kent Christopher Tkach

CRD# 3184637·Registered 1999 - 2016
Previously Registered: Being a previously registered professional could mean that Kent 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.

Professional Summary

Kent Christopher Tkach, who also goes by Kent C Tkach, was a registered financial advisor. Kent was a previously registered financial professional and started their career in finance 1999 - 2016. Kent had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Kent C Tkach

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

27 years in the financial services industry

Current & Past Employments

ICAPITAL SECURITIES, LLC·CRD# 171061
BD
Chicago, IL
June 9, 2015 - January 15, 2016
CHARLES SCHWAB & CO., INC.·CRD# 5393
RIA
Chicago, IL
May 21, 2013 - May 21, 2015
CHARLES SCHWAB & CO., INC.·CRD# 5393
BD
Chicago, IL
May 21, 2013 - May 21, 2015
VIRTU AMERICAS LLC·CRD# 149823
BD
New York, NY
July 2, 2012 - May 13, 2013
ASTOR ASSET MANAGEMENT LLC·CRD# 116408
RIA
Chicago, IL
June 7, 2012 - May 14, 2013
KNIGHT CAPITAL AMERICAS, L.P.·CRD# 38599
BD
Jersey City, NJ
February 25, 2011 - July 2, 2012
CALAMOS FINANCIAL SERVICES LLC·CRD# 19850
BD
Naperville, IL
February 5, 2004 - March 11, 2010
HARRISDIRECT LLC·CRD# 42159
BD
Jersey City, NJ
September 9, 2002 - February 2, 2004
INVESCO CAPITAL MARKETS, INC.·CRD# 6939
BD
Houston, TX
May 19, 2000 - July 2, 2002
EDWARD JONES·CRD# 250
BD
St. Louis, MO
April 20, 1999 - May 15, 2000

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Current Firm

IS
ICAPITAL SECURITIES, LLC

ICAPITAL SECURITIES, LLC

CRD#: 171061 / SEC#: 8-69443
BD
Terminated by SEC on 01/29/2024

Contact Information

Established

Delaware since 01/23/2014

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
INSTITUTIONAL CAPITAL NETWORK, INC.SOLE MEMBER—
BLALOCK, EILEEN DUFFHEAD OF ICAPITAL SECURITIES, LLC2752454
GEORGE, THOMAS KEITHFINOP5378303
THOME, CHRISTOPHER WESLEYCHIEF COMPLIANCE OFFICER5488980

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Apr 2011About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1999About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jan 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 1999About the Series 7 exam

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CRS (Client Relationship Summary)

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

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