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BJ

Benjamin M. Jaffe

ICAPITAL MARKETS LLC
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 4675236
BJ

Professional summary

Benjamin Maxwell Jaffe, who also goes by Benjamin M Jaffe, Benjamin Jaffe, is a registered financial professional currently at ICAPITAL MARKETS LLC located in Boca Raton, Florida.

Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2003. Benjamin has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Benjamin M Jaffe | Benjamin Jaffe

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 Benjamin Maxwell Jaffe'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

March 23, 2022 - Present

ICAPITAL MARKETS LLC

Office #1: 2500 North Military Trail Suite 125, Boca Raton, FL 33431
BD
CRD#: 118219
Boca Raton, FL
Past

November 10, 2020 - March 16, 2022

MORGAN STANLEY

RIA
CRD#: 149777
Miami, FL
Past

November 9, 2020 - March 16, 2022

MORGAN STANLEY

BD
CRD#: 149777
Miami, FL
Past

February 15, 2018 - October 28, 2020

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
MIAMI, FL
Past

February 14, 2018 - October 28, 2020

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
MIAMI, FL
Past

October 19, 2015 - November 27, 2017

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
AVENTURA, FL
Past

September 25, 2015 - November 27, 2017

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
AVENTURA, FL
Past

January 23, 2012 - September 21, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
FORT LAUDERDALE, FL
Past

June 1, 2009 - June 27, 2011

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

May 1, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PURCHASE, NY
Past

August 9, 2005 - March 20, 2007

SMG SECURITIES, INC.

BD
CRD#: 17406
NEW YORK, NY
Past

October 13, 2003 - July 14, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
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
Alabama
(5/24/2024)
RR
Arkansas
(5/24/2024)
RR
California
(5/24/2024)
RR
Florida
(3/23/2022)
RR
Georgia
(5/24/2024)
RR
Illinois
(5/24/2024)
RR
Louisiana
(5/24/2024)
RR
Maryland
(5/24/2024)
RR
Michigan
(5/24/2024)
RR
Mississippi
(5/24/2024)
RR
New York
(3/23/2022)
RR
Oregon
(5/24/2024)
RR
South Carolina
(5/24/2024)
RR
Tennessee
(5/24/2024)
RR
Texas
(5/24/2024)
RR
Virginia
(5/24/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/14/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/17/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
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 7
Date: 10/11/2003
General Securities 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)
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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#: 118219Boca Raton, FL 33431

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