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CB

Christian G. Briel

ICAPITAL MARKETS
New York, NY 10165
Some features on this profile are disabled
CRD#: 4130224
CB

Professional summary

Christian Gerhardt Briel is a registered financial professional currently at ICAPITAL MARKETS LLC located in New York, New York.

Christian is registered as a RR (Registered Representative) and started their career in finance in 2000. Christian has worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 6 exams.

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) - BD

Click below to view Christian Gerhardt Briel'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

November 30, 2023 - Present

ICAPITAL MARKETS LLC

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

June 26, 2023 - November 30, 2023

ICAPITAL SECURITIES, LLC

BD
CRD#: 171061
NEW YORK, NY
Past

August 27, 2019 - June 1, 2023

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
North Oaks, MN
Past

August 27, 2019 - June 1, 2023

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
MONUMENT, CO
Past

May 2, 2017 - September 30, 2019

BLUESTONE CAPITAL MANAGEMENT, LLC

RIA
CRD#: 157841
Robbinsdale, MN
Past

April 20, 2015 - September 30, 2019

MCG SECURITIES LLC

BD
CRD#: 163144
WAYNE, PA
Past

January 7, 2014 - April 13, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Minneapolis, MN
Past

April 11, 2000 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 11, 2000 - April 13, 2015

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.

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
Alabama
(11/30/2023)
RR
Alaska
(11/30/2023)
RR
Arizona
(11/30/2023)
RR
California
(11/30/2023)
RR
Colorado
(11/30/2023)
RR
Connecticut
(11/30/2023)
RR
Delaware
(11/30/2023)
RR
District of Columbia
(11/30/2023)
RR
Florida
(11/30/2023)
RR
Georgia
(11/30/2023)
RR
Hawaii
(11/30/2023)
RR
Idaho
(11/30/2023)
RR
Illinois
(12/12/2023)
RR
Indiana
(11/30/2023)
RR
Iowa
(11/30/2023)
RR
Kansas
(11/30/2023)
RR
Kentucky
(11/30/2023)
RR
Louisiana
(11/30/2023)
RR
Maine
(11/30/2023)
RR
Maryland
(11/30/2023)
RR
Massachusetts
(11/30/2023)
RR
Minnesota
(11/30/2023)
RR
Mississippi
(11/30/2023)
RR
Missouri
(11/30/2023)
RR
Montana
(11/30/2023)
RR
Nebraska
(11/30/2023)
RR
Nevada
(11/30/2023)
RR
New Hampshire
(11/30/2023)
RR
New Jersey
(11/30/2023)
RR
New Mexico
(11/30/2023)
RR
New York
(12/4/2023)
RR
North Carolina
(11/30/2023)
RR
North Dakota
(11/30/2023)
RR
Ohio
(11/30/2023)
RR
Oklahoma
(11/30/2023)
RR
Pennsylvania
(11/30/2023)
RR
Puerto Rico
(11/30/2023)
RR
Rhode Island
(11/30/2023)
RR
South Carolina
(11/30/2023)
RR
South Dakota
(11/30/2023)
RR
Tennessee
(11/30/2023)
RR
Texas
(11/30/2023)
RR
Utah
(11/30/2023)
RR
Vermont
(11/30/2023)
RR
Virginia
(11/30/2023)
RR
Washington
(11/30/2023)
RR
West Virginia
(11/30/2023)
RR
Wisconsin
(11/30/2023)
RR
Wyoming
(11/30/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/10/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/16/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/1/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/22/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/10/2000
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)
PREMIUM
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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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