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MA

Mark Adams

ICAPITAL MARKETS LLC
New York, NY 10165
Some features on this profile are disabled
CRD#: 4037703
MA

Professional summary

Mark Adams, who also goes by Mark Richard Adams, is a registered financial professional currently at ICAPITAL MARKETS LLC located in New York, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2000. Mark has worked at 11 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark Richard Adams

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 Mark Adams'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

March 25, 2024 - Present

ICAPITAL MARKETS LLC

Office #1: 60 East 42nd Street 26th Floor, New York, NY 10165
BD
CRD#: 118219
New York, NY
Past

April 19, 2023 - March 13, 2024

HALO SECURITIES, LLC

BD
CRD#: 279029
Chicago, IL
Past

October 4, 2022 - March 29, 2023

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 287788
IRVING, TX
Past

June 3, 2021 - August 22, 2022

IM GLOBAL US DISTRIBUTORS LLC

BD
CRD#: 299892
EL SEGUNDO, CA
Past

April 30, 2018 - June 2, 2021

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

January 6, 2017 - February 1, 2018

MVP AMERICAN SECURITIES

BD
CRD#: 118286
LAS VEGAS, NV
Past

July 25, 2011 - January 6, 2017

DCM BROKERS, LLC

BD
CRD#: 144158
CHICAGO, IL
Past

November 14, 2008 - March 26, 2010

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
NEW YORK CITY, NY
Past

November 6, 2007 - October 16, 2008

DIRECTED SERVICES LLC

BD
CRD#: 21675
WEST CHESTER, PA
Past

October 6, 2007 - November 12, 2007

DEAM INVESTOR SERVICES, INC.

BD
CRD#: 754
CHICAGO, IL
Past

January 12, 2000 - November 12, 2007

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL

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
Florida
(10/24/2025)
RR
Illinois
(3/25/2024)
RR
Indiana
(3/25/2024)
RR
Iowa
(3/25/2024)
RR
Kentucky
(3/25/2024)
RR
Michigan
(3/25/2024)
RR
Minnesota
(3/25/2024)
RR
Missouri
(7/21/2025)
RR
Montana
(3/25/2024)
RR
Ohio
(3/27/2024)
RR
Texas
(10/24/2025)
RR
Wisconsin
(3/25/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/23/2000
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 31
Date: 3/7/2014
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/2/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/11/2000
Investment Company Products/Variable Contracts Representative 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)
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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)

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#: 118219New York, NY 10165

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