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AS

Alexander B. Sixbey

ICM CAPITAL MARKETS
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 5308440
AS

Professional summary

Alexander Benjamin Sixbey, who also goes by Alexander Benjamin Sixbey, is a registered financial professional currently at ICM CAPITAL MARKETS, LLC located in New York, New York and SI SECURITIES, LLC located in Boston, Massachusetts.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2007. Alexander has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alexander Benjamin Sixbey

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 Alexander Benjamin Sixbey's CRS (Customer Relationship Summary).
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

June 10, 2025 - Present

ICM CAPITAL MARKETS, LLC

Office #1: 1178 Broadway, New York, NY 10001
BD
CRD#: 312157
NEW YORK, NY
Current

August 22, 2025 - Present

SI SECURITIES, LLC

Office #1: 99 High Street Floor 17, Boston, MA 02110
BD
CRD#: 170937
Boston, MA
Past

February 12, 2025 - September 19, 2025

JUNIPER SQUARE CAPITAL

BD
CRD#: 317612
RANCHO SANTA FE, CA
Past

March 29, 2011 - December 31, 2021

OSAIC FS, INC.

RIA
CRD#: 3870
HARTFORD, CT
Past

March 29, 2011 - April 5, 2024

OSAIC FA, INC.

RIA
CRD#: 3978
HARTFORD, CT
Past

March 29, 2011 - April 5, 2024

OSAIC FS, INC.

BD
CRD#: 3870
HARTFORD, CT
Past

March 29, 2011 - April 5, 2024

OSAIC FA, INC.

BD
CRD#: 3978
HARTFORD, CT
Past

August 17, 2009 - February 28, 2011

LINCOLN FINANCIAL DISTRIBUTORS, INC.

RIA
CRD#: 145
HARTFORD, CT
Past

August 17, 2009 - April 5, 2024

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
HARTFORD, CT
Past

January 17, 2008 - May 11, 2009

LINCOLN FINANCIAL DISTRIBUTORS, INC.

RIA
CRD#: 145
HARTFORD, CT
Past

January 17, 2008 - May 11, 2009

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
HARTFORD, CT
Past

September 13, 2007 - January 22, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 13787
NEW BRITAIN, CT
Past

September 13, 2007 - January 22, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

April 25, 2007 - December 4, 2007

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
PLANTSVILLE, CT
Past

April 3, 2007 - June 20, 2007

BANCNORTH INVESTMENT GROUP, INC.

BD
CRD#: 31299
PLANTSVILLE, CT

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
(8/22/2025)
RR
New York
(6/10/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/19/2007
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: 4/2/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/14/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SI SECURITIES, LLC
SI SECURITIES, LLC

CRD#: 170937 / SEC#: , 8-69440

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
99 High Street 17th Floor, Boston, MA 02210
Mailing Address
99 High Street 17th Floor, Boston, MA 02210
Phone number
(617) 326-8326
Established
New York since 03/26/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PLUTO HOLDINGS, LLCSOLE MEMBER
FISHMAN, DANIEL CHARLESCHIEF EXECUTIVE OFFICER5138796
MEYERS, CHRISTOPHER M JRFINOP6122487
RAND, PAIGE WOODSUMCHIEF COMPLIANCE OFFICER4520907

Disclosures

Regulatory Event1

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

SI SECURITIES, LLC

CRD#: 170937New York, NY 10001

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