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MA

Michael Andersen

ICAPITAL MARKETS LLC
New York, NY 10165
Some features on this profile are disabled
CRD#: 5449369
MA

Professional summary

Michael Andersen, who also goes by Michael Paul Andersen, Michael Andersen, is a registered financial professional currently at ICAPITAL MARKETS LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2008. Michael has worked at 7 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Paul Andersen | Michael Andersen

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 Michael Andersen'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: 60 East 42nd Street 26th Floor, New York, NY 10165
BD
CRD#: 118219
New York, NY
Past

January 16, 2019 - November 30, 2023

ICAPITAL SECURITIES, LLC

BD
CRD#: 171061
NEW YORK, NY
Past

March 28, 2017 - August 9, 2018

CITI PRIVATE ALTERNATIVES, LLC

BD
CRD#: 153777
New York, NY
Past

February 7, 2017 - December 17, 2018

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
Jersey City, NJ
Past

June 12, 2015 - December 17, 2018

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Jersey City, NJ
Past

August 4, 2011 - June 1, 2015

GUGGENHEIM INVESTMENT ADVISORS, LLC

RIA
CRD#: 108263
NEW YORK, NY
Past

August 4, 2011 - June 1, 2015

GUGGENHEIM INVESTOR SERVICES, LLC

BD
CRD#: 30096
NEW YORK, NY
Past

March 5, 2008 - July 28, 2011

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY

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
New York
(11/30/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/11/2008
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 3
Date: 2/13/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/4/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/8/2012
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/18/2012
General Securities Sales Supervisor - General Module 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#: 118219New York, NY 10165

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