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JL

John J. Leonard

ICAPITAL MARKETS LLC
New York, NY 10165
Some features on this profile are disabled
CRD#: 4603075
JL

Professional summary

John J Leonard, who also goes by John J Leonard, John Joseph Leonard, is a registered financial professional currently at ICAPITAL MARKETS LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2002. John has worked at 21 firms and has passed the Series 63, Series 66, Series 82TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John J Leonard | John Joseph Leonard

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 John J Leonard'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

July 13, 2023 - Present

ICAPITAL MARKETS LLC

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

May 30, 2023 - November 30, 2023

ICAPITAL SECURITIES, LLC

BD
CRD#: 171061
NEW YORK, NY
Past

June 19, 2019 - November 14, 2019

PARNASSUS FUNDS DISTRIBUTOR, LLC

BD
CRD#: 15883
Berwyn, PA
Past

January 29, 2018 - November 14, 2019

SMEAD FUNDS DISTRIBUTORS, LLC

BD
CRD#: 173734
Berwyn, PA
Past

January 29, 2018 - November 14, 2019

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
BERWYN, PA
Past

January 29, 2018 - November 14, 2019

FORESIDE DISTRIBUTION SOLUTIONS, LLC

BD
CRD#: 118787
BERWYN, PA
Past

January 29, 2018 - November 14, 2019

ORBIS INVESTMENTS (U.S.), LLC

BD
CRD#: 172663
Berywn, PA
Past

January 29, 2018 - November 14, 2019

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
BERWYN, PA
Past

January 29, 2018 - November 14, 2019

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
Berwyn, PA
Past

January 29, 2018 - November 14, 2019

FORESIDE GLOBAL SERVICES, LLC

BD
CRD#: 147382
BERWYN, PA
Past

January 29, 2018 - November 14, 2019

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
BERWYN, PA
Past

January 29, 2018 - November 14, 2019

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
Berywn, PA
Past

January 29, 2018 - November 14, 2019

FORESIDE ASSOCIATES, LLC

BD
CRD#: 13494
Berwyn, PA
Past

January 29, 2018 - November 14, 2019

BD COMPLIANCE SOLUTIONS, LLC

BD
CRD#: 30188
Berwyn, PA
Past

July 9, 2016 - May 26, 2023

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
BERWYN, PA
Past

January 17, 2013 - July 9, 2015

STONE TORO INVESTMENT ADVISERS

RIA
CRD#: 164925
PRINCETON, NJ
Past

July 2, 2012 - December 31, 2012

ZYNIN CAPITAL MANAGEMENT LLC

RIA
CRD#: 151660
PRINCETON, NJ
Past

September 29, 2006 - November 23, 2010

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
PLAINSBORO, NJ
Past

September 29, 2006 - November 19, 2010

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

March 11, 2004 - September 29, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA
CRD#: 105068
PLAINSBORO, NJ
Past

December 11, 2002 - September 29, 2006

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
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
(7/13/2023)
RR
New York
(7/13/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 1/15/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 1/6/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 2/14/2019
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/9/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/23/2017
General Securities Principal 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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