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ST

Samuel H. Ticknor

LEAGUE CAPITAL MARKETS
NEW YORK, NY 10105
Some features on this profile are disabled
CRD#: 4461959
ST

Professional summary

Samuel Howe Ticknor is a registered financial professional currently at LEAGUE CAPITAL MARKETS located in New York, New York.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2001. Samuel has worked at 5 firms and has passed the Series 63, SIE and Series 7 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 Samuel Howe Ticknor's CRS (Customer Relationship Summary).
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

October 10, 2016 - Present

LEAGUE CAPITAL MARKETS

Office #1: 1345 Avenue Of The Americas 2nd Floor, New York, NY 10105
BD
CRD#: 170803
NEW YORK, NY
Past

January 30, 2015 - May 28, 2015

LEAGUE CAPITAL MARKETS

BD
CRD#: 170803
NEW YORK, NY
Past

June 23, 2009 - September 12, 2012

CORPORATE FUEL SECURITIES LLC

BD
CRD#: 139124
NEW YORK, NY
Past

January 5, 2006 - April 3, 2008

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
HASBROUCK HEIGHTS, NJ
Past

September 2, 2003 - January 13, 2006

BERGEN CAPITAL, INC.

BD
CRD#: 46348
HASBROUCK HEIGHTS, NJ
Past

November 12, 2001 - September 5, 2003

PROVIDENT INTERNATIONAL SECURITIES, INC.

BD
CRD#: 103834
NEW YORK, 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
New Jersey
(10/6/2022)
RR
New York
(11/1/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 10/14/2016
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 7
Date: 11/9/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LEAGUE CAPITAL MARKETS
FORT GHENT BROKERAGE LLC | LEAGUE CAPITAL MARKETS

CRD#: 170803 / SEC#: , 8-69432

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1345 Avenue Of The Americas 2nd Floor, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 2nd Floor, New York, NY 10105
Phone number
(212) 588-0580
Established
New York since 11/01/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LEAGUEMED ENTERPRISES, LLCOWNER
DAUSEND, DOROTHY THERESASUPERVISORY PRINCIPAL1326747
GALLAGHER, JOHN JOSEPH JRCEO3128509
MACK, ALEXANDER HERBERTFINOP4805607
MACK, DAVIDPRESIDENT2164969
URQUIOLA, JEAN CAROLCCO, VICE PRESIDENT1806619

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

LEAGUE CAPITAL MARKETS

CRD#: 170803New York, NY 10105

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