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AJ

Allison D. Jacobs

ICM CAPITAL MARKETS
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 4589213
AJ

Professional summary

Allison Dee Jacobs is a registered financial professional currently at ICM CAPITAL MARKETS, LLC located in New York, New York.

Allison is registered as a RR (Registered Representative) and started their career in finance in 2002. Allison has worked at 10 firms and has passed the Series 63, Series 99TO, Series 7TO, Series 79TO, SIE, Series 55, Series 3, Series 7, Series 24, Series 14 and Series 4 exams.

top-8-questions

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 Allison Dee Jacobs'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

October 6, 2021 - Present

ICM CAPITAL MARKETS, LLC

Office #1: 1178 Broadway, New York, NY 10001Office #2: 1178 Broadway, New York, NY 10001
BD
CRD#: 312157
NEW YORK, NY
Past

June 23, 2016 - March 12, 2019

T-REX SECURITIES, LLC

BD
CRD#: 174831
NEW YORK, NY
Past

December 26, 2013 - June 11, 2014

QUAD SECURITIES LLC

BD
CRD#: 163463
NEW YORK, NY
Past

December 26, 2013 - June 11, 2014

QUAD CAPITAL, LLC

BD
CRD#: 148927
NEW YORK, NY
Past

September 8, 2011 - June 27, 2012

LAVAFLOW, INC.

BD
CRD#: 120444
NEW YORK, NY
Past

September 8, 2011 - March 8, 2013

CITI ORDER ROUTING AND EXECUTION, LLC

BD
CRD#: 103768
MT. PLEASANT, SC
Past

August 22, 2011 - March 8, 2013

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 24, 2009 - July 12, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 19, 2005 - September 29, 2009

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

October 8, 2002 - August 16, 2004

PAX CLEARING CORPORATION

BD
CRD#: 104263
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
Illinois
(1/4/2023)
RR
New York
(1/29/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 1/28/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/18/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/7/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/20/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 12/4/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/2/2023
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IC
ICM CAPITAL MARKETS, LLC
ICM CAPITAL MARKETS, LLC

CRD#: 312157 / SEC#: , 8-70657

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

Main Address
1178 Broadway, New York, NY 10001
Mailing Address
228 Park Avenue South Pmb 44954, New York, NY 10003-1502
Phone number
(917) 342-2224
Established
Delaware since 11/24/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HUM CAPITAL, INC. (F/K/A CAPITAL TECHNOLOGY SOLUTIONS INC.)OWNER
BROWN, SCOTTFINOP6694802
JACOBS, ALLISON DEECHIEF EXECUTIVE OFFICER4589213
SIXBEY, ALEXANDERCHIEF COMPLIANCE OFFICER5308440

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

ICM CAPITAL MARKETS, LLC

CRD#: 312157New York, NY 10001

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