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Timothy James Armenta

CRD# 5066631·Registered 2006 - 2021
Previously Registered: Being a previously registered professional could mean that Timothy is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Timothy James Armenta, who also goes by Timothy J Armenta, Timothy Armenta, was a registered financial advisor. Timothy was a previously registered financial professional and started their career in finance 2006 - 2021. Timothy had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Timothy J Armenta, Timothy Armenta

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

20 years in the financial services industry

Current & Past Employments

ICAPITAL SECURITIES, LLC·CRD# 171061
BD
New York, NY
October 15, 2019 - February 4, 2021
VELOCITY CAPITAL, LLC·CRD# 171810
BD
New York, NY
December 1, 2017 - April 11, 2019
UBS FINANCIAL SERVICES INC.·CRD# 8174
RIA
New York, NY
October 15, 2012 - December 28, 2015
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
New York, NY
October 15, 2012 - December 28, 2015
MORGAN STANLEY·CRD# 149777
RIA
New York, NY
September 9, 2011 - October 29, 2012
MORGAN STANLEY·CRD# 149777
BD
New York, NY
July 11, 2011 - October 29, 2012
MORGAN STANLEY & CO. LLC·CRD# 8209
BD
New York, NY
October 10, 2006 - July 30, 2007

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Current Firm

IS
ICAPITAL SECURITIES, LLC

ICAPITAL SECURITIES, LLC

CRD#: 171061 / SEC#: 8-69443
BD
Terminated by SEC on 01/29/2024

Contact Information

Established

Delaware since 01/23/2014

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
INSTITUTIONAL CAPITAL NETWORK, INC.SOLE MEMBER—
BLALOCK, EILEEN DUFFHEAD OF ICAPITAL SECURITIES, LLC2752454
GEORGE, THOMAS KEITHFINOP5378303
THOME, CHRISTOPHER WESLEYCHIEF COMPLIANCE OFFICER5488980

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Sep 2011About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2006About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed Mar 2024About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 2011About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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