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NJ

Nathan W. James

ICAPITAL MARKETS LLC
Boston, MA 02110
Some features on this profile are disabled
CRD#: 5695001
NJ

Professional summary

Nathan W James, who also goes by Nathan William James, is a registered financial professional currently at ICAPITAL MARKETS LLC located in Boston, Massachusetts.

Nathan is registered as a RR (Registered Representative) and started their career in finance in 2009. Nathan has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nathan William James

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 Nathan W James'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

June 25, 2025 - Present

ICAPITAL MARKETS LLC

Office #1: 10 High Street Suite 500, Boston, MA 02110
BD
CRD#: 118219
Boston, MA
Past

October 6, 2020 - June 12, 2025

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
Reading, MA
Past

March 31, 2015 - June 12, 2025

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
BOSTON, MA
Past

March 19, 2010 - March 31, 2015

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

August 3, 2009 - September 10, 2009

COMMERCE ONE FINANCIAL INC.

BD
CRD#: 100340
SYOSSET, 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
Connecticut
(6/25/2025)
RR
Maine
(6/25/2025)
RR
Massachusetts
(6/25/2025)
RR
New Hampshire
(6/25/2025)
RR
New York
(6/25/2025)
RR
Pennsylvania
(6/25/2025)
RR
Rhode Island
(6/25/2025)
RR
Vermont
(6/25/2025)
RR
West Virginia
(6/25/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/21/2020
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/23/2010
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: 8/1/2009
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#: 118219Boston, MA 02110

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