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JC

Jason T. Clarke

ICAPITAL MARKETS
NEW YORK, NY 10165
CRD#: 4703079
Some features on this profile are disabled
JC
Jason T ClarkeICAPITAL MARKETS

Professional summary

Jason T Clarke, who also goes by Jason Clarke, is a registered financial professional currently at ICAPITAL MARKETS LLC located in New York, New York.

Jason is registered as a RR (Registered Representative) and started their career in finance in 2005. Jason has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jason Clarke

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 Jason T Clarke'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

April 11, 2024 - Present

ICAPITAL MARKETS LLC

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

December 8, 2023 - March 29, 2024

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

October 30, 2020 - December 31, 2022

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
PORTLAND, ME
Past

July 25, 2013 - January 28, 2020

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
Neshanic Station, NJ
Past

July 25, 2013 - January 28, 2020

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
CHARLOTTE, NC
Past

August 16, 2011 - July 11, 2013

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

January 3, 2006 - July 25, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

January 3, 2006 - July 25, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 18, 2005 - January 3, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA
CRD#: 105068
PLAINSBORO, NJ
Past

March 24, 2005 - January 3, 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
Connecticut
(4/11/2024)
RR
Delaware
(4/11/2024)
RR
District of Columbia
(4/11/2024)
RR
Maine
(4/11/2024)
RR
Maryland
(4/11/2024)
RR
Massachusetts
(4/11/2024)
RR
New Hampshire
(4/11/2024)
RR
New Jersey
(4/11/2024)
RR
New York
(4/11/2024)
RR
North Carolina
(4/11/2024)
RR
Ohio
(4/11/2024)
RR
Pennsylvania
(4/11/2024)
RR
Rhode Island
(4/11/2024)
RR
Vermont
(4/11/2024)
RR
Virginia
(4/11/2024)
RR
West Virginia
(4/11/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/17/2005
Uniform Combined 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: 3/23/2005
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)

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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