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AL

Allison Lam

ICAPITAL MARKETS LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 5943085
AL

Professional summary

Allison Lam Ms., who also goes by Allison Lam, is a registered financial professional currently at ICAPITAL MARKETS LLC located in Greenwich, Connecticut.

Allison is registered as a RR (Registered Representative) and started their career in finance in 2013. Allison has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Allison Lam

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 Allison Lam Ms.'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

January 13, 2026 - Present

ICAPITAL MARKETS LLC

Office #1: 2 Greenwich Plaza 4th Floor, Greenwich, CT 06830
BD
CRD#: 118219
Greenwich, CT
Past

February 7, 2022 - February 27, 2024

TCG CAPITAL MARKETS L.L.C.

BD
CRD#: 291767
Los Angeles, CA
Past

May 29, 2019 - July 30, 2021

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
Newark, NJ
Past

December 13, 2013 - November 7, 2017

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
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
Alabama
(1/27/2026)
RR
Alaska
(1/29/2026)
RR
Arizona
(1/28/2026)
RR
Arkansas
(1/26/2026)
RR
California
(1/23/2026)
RR
Colorado
(1/26/2026)
RR
Connecticut
(1/27/2026)
RR
Delaware
(1/26/2026)
RR
District of Columbia
(1/13/2026)
RR
Florida
(1/13/2026)
RR
Georgia
(1/29/2026)
RR
Hawaii
(3/3/2026)
RR
Idaho
(1/21/2026)
RR
Illinois
(1/13/2026)
RR
Indiana
(1/26/2026)
RR
Iowa
(1/27/2026)
RR
Kansas
(1/20/2026)
RR
Kentucky
(1/13/2026)
RR
Louisiana
(1/23/2026)
RR
Maine
(1/28/2026)
RR
Maryland
(2/5/2026)
RR
Massachusetts
(1/14/2026)
RR
Michigan
(1/13/2026)
RR
Minnesota
(1/13/2026)
RR
Mississippi
(1/13/2026)
RR
Missouri
(1/13/2026)
RR
Montana
(1/13/2026)
RR
Nebraska
(1/13/2026)
RR
Nevada
(1/26/2026)
RR
New Hampshire
(1/28/2026)
RR
New Jersey
(1/13/2026)
RR
New Mexico
(1/26/2026)
RR
New York
(2/4/2026)
RR
North Carolina
(1/26/2026)
RR
North Dakota
(1/26/2026)
RR
Ohio
(1/13/2026)
RR
Oklahoma
(1/13/2026)
RR
Oregon
(1/27/2026)
RR
Pennsylvania
(1/14/2026)
RR
Rhode Island
(1/27/2026)
RR
South Carolina
(1/13/2026)
RR
South Dakota
(1/13/2026)
RR
Tennessee
(1/26/2026)
RR
Texas
(1/13/2026)
RR
Utah
(1/13/2026)
RR
Vermont
(1/23/2026)
RR
Virginia
(1/23/2026)
RR
Washington
(1/13/2026)
RR
West Virginia
(1/14/2026)
RR
Wisconsin
(1/13/2026)
RR
Wyoming
(1/26/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 12/30/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/7/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/12/2013
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#: 118219Greenwich, CT 06830

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