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AR

Anthony J. Romano

ICAPITAL MARKETS LLC
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 5455061
AR

Professional summary

Anthony Joseph Romano III, who also goes by Anthony Joseph Romano, is a registered financial professional currently at ICAPITAL MARKETS LLC located in Boca Raton, Florida.

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

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anthony Joseph Romano

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 Anthony Joseph Romano III'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

April 8, 2019 - Present

ICAPITAL MARKETS LLC

Office #1: 2500 North Military Trail Suite 125, Boca Raton, FL 33431
BD
CRD#: 118219
Boca Raton, FL
Past

June 18, 2019 - September 19, 2019

NAVIAN CAPITAL SECURITIES LLC

BD
CRD#: 145037
CINCINNATI, OH
Past

August 29, 2014 - November 28, 2018

INCAPITAL DISTRIBUTORS LLC

BD
CRD#: 156622
BOCA RATON, FL
Past

August 29, 2014 - April 8, 2019

INSPEREX LLC

BD
CRD#: 101420
BOCA RATON, FL
Past

November 13, 2009 - September 5, 2014

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
BOYNTON BEACH, FL
Past

December 18, 2008 - November 13, 2009

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
DELRAY BEACH, FL
Past

February 28, 2008 - October 24, 2008

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
BOCA RATON, FL

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
(5/24/2024)
RR
Arkansas
(5/24/2024)
RR
California
(5/24/2024)
RR
Florida
(4/8/2019)
RR
Georgia
(5/24/2024)
RR
Illinois
(5/24/2024)
RR
Louisiana
(5/24/2024)
RR
Maryland
(5/24/2024)
RR
Michigan
(5/24/2024)
RR
Mississippi
(5/24/2024)
RR
New York
(4/8/2019)
RR
Oregon
(5/24/2024)
RR
South Carolina
(5/24/2024)
RR
Tennessee
(5/24/2024)
RR
Texas
(5/24/2024)
RR
Virginia
(5/24/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/24/2008
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: 2/26/2008
General Securities 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#: 118219Boca Raton, FL 33431

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