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Nathan S. Gray

ICAPITAL MARKETS LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 5139169
NG

Professional summary

Nathan Silas Gray is a registered financial professional currently at ICAPITAL MARKETS LLC located in Greenwich, Connecticut.

Nathan is registered as a RR (Registered Representative) and started their career in finance in 2006. Nathan has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Nathan Silas Gray'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
BD
CRD#: 118219
Greenwich, CT
Past

April 12, 2022 - November 30, 2023

ICAPITAL SECURITIES, LLC

BD
CRD#: 171061
NEW YORK, NY
Past

January 8, 2020 - September 6, 2022

ICAPITAL MARKETS LLC

BD
CRD#: 118219
NEW YORK, NY
Past

September 17, 2019 - January 9, 2020

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
Medfield, MA
Past

July 22, 2019 - January 9, 2020

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
MONUMENT, CO
Past

March 30, 2017 - July 22, 2019

CITIZENS SECURITIES, INC.

RIA
CRD#: 39550
CANTON, MA
Past

February 22, 2017 - July 22, 2019

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
CANTON, MA
Past

May 1, 2010 - February 2, 2017

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA
CRD#: 108257
CARLSBAD, CA
Past

May 1, 2010 - February 2, 2017

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 840
BOSTON, MA
Past

November 20, 2006 - May 1, 2010

BOFA ADVISORS, LLC

RIA
CRD#: 107900
BOSTON, MA
Past

October 24, 2006 - May 1, 2010

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

May 25, 2006 - October 20, 2006

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
BOSTON, MA

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
(11/30/2023)
RR
Arkansas
(11/30/2023)
RR
Connecticut
(11/30/2023)
RR
Florida
(11/30/2023)
RR
Georgia
(11/30/2023)
RR
Louisiana
(11/30/2023)
RR
Maine
(11/30/2023)
RR
Massachusetts
(11/30/2023)
RR
Mississippi
(11/30/2023)
RR
New Hampshire
(11/30/2023)
RR
North Carolina
(11/30/2023)
RR
Oklahoma
(11/30/2023)
RR
Rhode Island
(11/30/2023)
RR
South Carolina
(11/30/2023)
RR
Tennessee
(11/30/2023)
RR
Texas
(11/30/2023)
RR
Vermont
(11/30/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/17/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/8/2006
Uniform Securities Agent 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: 8/27/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/24/2006
Investment Company Products/Variable Contracts 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#: 118219Greenwich, CT 06830

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