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NM

Niles G. Monica

ICAPITAL MARKETS
Princeton, NJ 08540
Some features on this profile are disabled
CRD#: 4794292
NM

Professional summary

Niles G Monica, who also goes by Niles Gerard Monica, Niles G. Monica, is a registered financial professional currently at ICAPITAL MARKETS LLC located in Princeton, New Jersey.

Niles is registered as a RR (Registered Representative) and started their career in finance in 2004. Niles has worked at 8 firms and has passed the Series 63, Series 65, Series 66, Series 3, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Niles Gerard Monica | Niles G. Monica

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 Niles G Monica'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 31, 2026 - Present

ICAPITAL MARKETS LLC

Office #1: 214 Carnegie Center Suite 203, Princeton, NJ 08540
BD
CRD#: 118219
Princeton, NJ
Past

July 15, 2024 - August 27, 2025

MISSIONSQUARE WEALTH MANAGEMENT

BD
CRD#: 23189
WASHINGTON, DC
Past

January 3, 2011 - January 12, 2022

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
New York, NY
Past

December 21, 2010 - January 3, 2011

JPMORGAN DISTRIBUTION SERVICES, INC.

BD
CRD#: 104234
NEW YORK, NY
Past

September 29, 2009 - October 7, 2010

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

September 2, 2009 - October 7, 2010

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

January 31, 2008 - August 10, 2009

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

March 15, 2005 - April 10, 2007

LORD, ABBETT & CO. LLC

RIA
CRD#: 110391
JERSEY CITY, NJ
Past

May 25, 2004 - April 10, 2007

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ

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
(3/31/2026)
RR
Pennsylvania
(4/6/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/28/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/4/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/14/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 6/13/2019
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 12/14/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/24/2004
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 118219Princeton, NJ 08540

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