Vladlen Ivanov

LUCID CAPITAL MARKETS

New York, NY 10022

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CRD#: 5329910

Professional summary

Vladlen Ivanov, who also goes by Vlad IVanov, is a registered financial professional currently at LUCID CAPITAL MARKETS, LLC located in New York, New York.

Vladlen is registered as a RR (Registered Representative) and started their career in finance in 2008. Vladlen has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Vlad Ivanov

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 Vladlen Ivanov'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

March 18, 2024 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: 570 Lexington Avenue 40th Fl., New York, NY 10022

CRD#: 140345

New York, NY

Past

July 5, 2012 - March 19, 2024

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

April 11, 2011 - June 12, 2012

RODMAN & RENSHAW, LLC

CRD#: 16415

NEW YORK, NY

Past

March 15, 2010 - April 11, 2011

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

September 30, 2008 - December 9, 2008

CHURCHILL CAPITAL USA, INC.

CRD#: 143278

NEW YORK, NY

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

Arizona
(5/13/2024)

California
(5/13/2024)

Connecticut
(5/13/2024)

Florida
(5/13/2024)

Illinois
(5/13/2024)

Maryland
(5/13/2024)

Massachusetts
(5/13/2024)

New Jersey
(5/13/2024)

New York
(3/18/2024)

North Carolina
(5/13/2024)

Ohio
(5/13/2024)

Pennsylvania
(5/13/2024)

Texas
(5/13/2024)

Vermont
(5/9/2024)

Virgin Islands
(5/13/2024)

Exams

State Security Law Exam

Series 63

Date: 11/14/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/29/2008

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

LUCID CAPITAL MARKETS, LLC

CRD#: 140345 / SEC#: , 8-67305

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005

Mailing Address

C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038

Phone number

(212) 306-2700

Established

New York since 06/15/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (25 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GI4 HOLDINGS, LLC	SOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.	CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL	1616912
SHAPIRO, ANDREW JAY	CHIEF COMPLIANCE OFFICER	1104658
TANIOS, FADY	CEO	4213894
YANNOTTI, ALEXANDER ANTHONY	FINANCIAL OPERATIONS PRINCIPAL	1333893

Disclosures

Regulatory Event

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

Vladlen Ivanov

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vladlen Ivanov's CRS (Customer Relationship Summary).

Certified licenses

Experience

LADENBURG THALMANN & CO. INC.

RODMAN & RENSHAW, LLC

MAXIM GROUP LLC

CHURCHILL CAPITAL USA, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/14/2008

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/29/2008

FINRA

New York Stock Exchange

Current Firm

LUCID CAPITAL MARKETS, LLC

Contact information

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LUCID CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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