Ji Pak
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ji Pak, who also goes by Ji Mi Pak, was a registered financial professional .
Ji is a previously registered financial professional and started their career in finance in 2002. Ji had worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2023 - April 2, 2025
ICON CAPITAL GROUP, LLC
March 24, 2023 - September 1, 2023
MARCO POLO SECURITIES INC.
March 23, 2022 - January 3, 2023
B. RILEY SECURITIES, INC.
February 20, 2019 - December 13, 2021
CANTOR FITZGERALD & CO.
April 25, 2016 - January 11, 2019
SEAPORT GLOBAL SECURITIES LLC
July 30, 2015 - March 29, 2016
MUFG SECURITIES AMERICAS INC.
August 21, 2013 - May 26, 2015
RBC CAPITAL MARKETS, LLC
April 17, 2012 - July 25, 2013
JEFFERIES LLC
October 1, 2008 - April 19, 2012
J.P. MORGAN SECURITIES LLC
November 26, 2002 - October 1, 2008
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/28/2006
Limited Representative-Equity Trader ExamCurrent Firm
ICON CAPITAL GROUP, LLC
CRD#: 4029 / SEC#: , 8-18148
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICON CAPITAL HOLDINGS, LLC | MANAGING MEMBER | |
| CALICCHIO, ALPHONSE JOHN III | CEO, CCO, AND PARTNER | |
| MCCLEAN, DAVID EDWARD | CFO, FINOP, GSP | 1211045 |
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.
