Stephen D. Clancy

ICAPITAL MARKETS LLC

New York, NY 10165

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CRD#: 3268395

Professional summary

Stephen David Clancy is a registered financial professional currently at ICAPITAL MARKETS LLC located in New York, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1999. Stephen has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 55, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Stephen David Clancy'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®

None

Experience

Current

April 14, 2021 - Present

ICAPITAL MARKETS LLC

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

CRD#: 118219

New York, NY

Past

January 2, 2020 - November 29, 2021

COWEN PRIME SERVICES LLC

CRD#: 153397

Darien,, CT

Past

August 23, 2018 - January 6, 2020

BEECH HILL SECURITIES, INC.

CRD#: 24771

NEW YORK, NY

Past

October 20, 2017 - January 16, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

Secaucus, NJ

Past

July 24, 2012 - February 19, 2015

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 29, 2007 - June 22, 2007

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

August 20, 2002 - June 30, 2005

UBM SECURITIES, INC.

CRD#: 120837

NEW YORK, NY

Past

August 11, 1999 - December 21, 2000

MARKETXT, INC.

CRD#: 43478

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(4/14/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/6/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/9/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/2017

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 8/20/2012

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 11/3/2011

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 10/7/2024

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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

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)

Documents

Direct owners and executive officers

Name	Position	CRD#
ICAPITAL MARKETS HOLDING LLC	PARENT
GEORGE, THOMAS KEITH	FINOP	5378303
HOUSTON, STEPHEN HENRY	HEAD OF BROKER DEALER	1988668
MORGAN, COURTNEY	CHIEF COMPLIANCE OFFICER	6384535

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.

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Advisor Monitoring

Firm Stability Insights

Stephen D. Clancy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen David Clancy's CRS (Customer Relationship Summary).

Certified licenses

Experience

COWEN PRIME SERVICES LLC

BEECH HILL SECURITIES, INC.

MML INVESTORS SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

SG AMERICAS SECURITIES, LLC

UBM SECURITIES, INC.

MARKETXT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/6/2017

Series 63

Date: 8/9/2012

SIE

Date: 10/1/2018

Series 7

Date: 10/20/2017

Series 55

Date: 8/20/2012

Series 3

Date: 11/3/2011

Series 24

Date: 10/7/2024

FINRA

Current Firm

ICAPITAL MARKETS LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ICAPITAL MARKETS LLC

TRUST BUT VERIFY

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