Andrew C. Barnum

ICAPITAL MARKETS LLC

Greenwich, CT 06830

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CRD#: 4803513

Professional summary

Andrew Costas Bethuel Barnum, who also goes by Andrew C.b. Barnum, Andrew Costas Bethus Barnum, Andrew Barnum, is a registered financial professional currently at ICAPITAL MARKETS LLC located in Greenwich, Connecticut.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2004. Andrew has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrew C.b. Barnum | Andrew Costas Bethus Barnum | Andrew Barnum

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 Andrew Costas Bethuel Barnum'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

November 30, 2023 - Present

ICAPITAL MARKETS LLC

Office #1: 2 Greenwich Plaza 4th Floor, Greenwich, CT 06830

CRD#: 118219

Greenwich, CT

Past

March 28, 2022 - November 30, 2023

ICAPITAL SECURITIES, LLC

CRD#: 171061

NEW YORK, NY

Past

February 8, 2017 - June 4, 2021

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

DANVERS, MA

Past

May 16, 2016 - June 4, 2021

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

May 16, 2016 - June 4, 2021

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

May 16, 2016 - June 4, 2021

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

May 16, 2016 - June 4, 2021

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

July 31, 2014 - June 4, 2021

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

August 21, 2007 - August 1, 2014

RIDGEWOOD SECURITIES CORPORATION

CRD#: 15453

MONTVALE, NJ

Past

December 11, 2004 - July 17, 2007

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

IRVINE, CA

Past

July 28, 2004 - December 11, 2004

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Connecticut
(6/28/2024)

Massachusetts
(11/30/2023)

New York
(11/30/2023)

Exams

State Security Law Exam

IAR

Series 66

Date: 2/8/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/11/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/2014

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 9/25/2007

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/27/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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

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

Name	Position	CRD#
ICAPITAL MARKETS HOLDING LLC	PARENT
GEORGE, THOMAS KEITH	FINOP	5378303
HOUSTON, STEPHEN HENRY	HEAD OF BROKER DEALER	1988668
MORGAN, COURTNEY	CHIEF COMPLIANCE OFFICER	6384535

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.

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Advisor Monitoring

Firm Stability Insights

Andrew C. Barnum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Costas Bethuel Barnum's CRS (Customer Relationship Summary).

Certified licenses

Experience

ICAPITAL SECURITIES, LLC

CETERA WEALTH SERVICES, LLC

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

FIRST ALLIED SECURITIES, INC.

RIDGEWOOD SECURITIES CORPORATION

METLIFE INVESTORS DISTRIBUTION COMPANY

METLIFE INVESTORS DISTRIBUTION COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 2/8/2017

Series 63

Date: 8/11/2004

SIE

Date: 10/1/2018

Series 7

Date: 8/19/2014

Series 22

Date: 9/25/2007

Series 6

Date: 7/27/2004

FINRA

Current Firm

ICAPITAL MARKETS LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ICAPITAL MARKETS LLC

TRUST BUT VERIFY

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