Kartik M. Gada
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kartik Murji Gada was a registered financial professional .
Kartik is a previously registered financial professional and started their career in finance in 2009. Kartik had worked at 4 firms and has passed the Series 66, Series 79TO, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2024 - July 9, 2025
ICON CAPITAL GROUP, LLC
October 24, 2019 - March 6, 2022
IOI CAPITAL AND MARKETS, LLC
January 9, 2017 - August 10, 2018
WOODSIDE CAPITAL SECURITIES LLC
February 9, 2009 - December 26, 2016
RELIANCE CAPITAL MANAGEMENT ADVISORS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
ICON CAPITAL GROUP, LLC
CRD#: 4029 / SEC#: , 8-18148
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICON CAPITAL HOLDINGS, LLC | MANAGING MEMBER | |
| CALICCHIO, ALPHONSE JOHN III | CEO, CCO, AND PARTNER | |
| MCCLEAN, DAVID EDWARD | CFO, FINOP, GSP | 1211045 |
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.
