AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
YP

Yolanda M. Plaza-charres

ICAPITAL MARKETS LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 4024797
YP

Professional summary

Yolanda Marisa Plaza-charres, who also goes by Yolanda Marisa Plaza, is a registered financial professional currently at ICAPITAL MARKETS LLC located in Greenwich, Connecticut.

Yolanda is registered as a RR (Registered Representative) and started their career in finance in 1999. Yolanda has worked at 11 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Yolanda Marisa Plaza

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.
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Yolanda Marisa Plaza-charres'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 4, 2025 - Present

ICAPITAL MARKETS LLC

Office #1: 2 Greenwich Plaza 4th Floor, Greenwich, CT 06830
BD
CRD#: 118219
Greenwich, CT
Past

May 25, 2023 - February 13, 2025

MARCH CAPITAL CORP.

BD
CRD#: 24142
CHICAGO, IL
Past

March 9, 2021 - July 14, 2022

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA
Past

December 26, 2020 - July 14, 2022

VANGUARD ADVISERS, INC.

RIA
CRD#: 106715
MALVERN, PA
Past

October 17, 2017 - November 16, 2020

SEI INVESTMENTS MANAGEMENT CORP

RIA
CRD#: 105146
OAKS, PA
Past

May 3, 2014 - May 31, 2016

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
NEW YORK, NY
Past

November 13, 2006 - January 26, 2011

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
PLAINSBORO, NJ
Past

November 8, 2006 - January 26, 2011

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
PLAINSBORO, NJ
Past

September 25, 2001 - October 12, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA
CRD#: 105068
BOCA RATON, FL
Past

October 23, 2000 - October 13, 2006

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

November 17, 1999 - September 15, 2000

PRIME CAPITAL SERVICES, INC.

BD
CRD#: 18334
POUGHKEEPSIE, NY

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
California
(4/4/2025)
RR
Delaware
(4/4/2025)
RR
Florida
(4/4/2025)
RR
Georgia
(4/4/2025)
RR
New Jersey
(4/4/2025)
RR
New York
(4/4/2025)
RR
North Carolina
(4/4/2025)
RR
Pennsylvania
(4/4/2025)
RR
South Carolina
(4/4/2025)
RR
Texas
(4/4/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/2/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/16/2017
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/2/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/26/2021
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 118219Greenwich, CT 06830

TRUST BUT VERIFY

Monitor Yolanda Plaza-charres

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Brian Joseph Marchini
Brian MarchiniAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
White Plains, NY
Philip David Meese
Philip MeeseAdvisorCheck Check Mark
AE WEALTH MANAGEMENT, LLC
IAR
Darien, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.