CS
Curtis D. Sample
ICAPITAL MARKETS LLC
New York, NY 10165
Some features on this profile are disabled
CRD#: 6282224
CS
Professional summary
Curtis Daniel Sample III is a registered financial professional currently at ICAPITAL MARKETS LLC located in New York, New York.
Curtis is registered as a RR (Registered Representative) and started their career in finance in 2018. Curtis has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Curtis Daniel Sample 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®
NoneExperience
Current
November 30, 2023 - Present
ICAPITAL MARKETS LLC
Office #1: 60 East 42nd Street 26th Floor, New York, NY 10165BD
CRD#: 118219
New York, NY
Past
December 10, 2021 - November 30, 2023
ICAPITAL SECURITIES, LLC
BD
CRD#: 171061
NEW YORK, NY
Past
February 12, 2018 - October 4, 2021
CION SECURITIES, LLC
BD
CRD#: 15487
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(6/4/2024)
RR
Alaska(6/4/2024)
RR
Arizona(6/4/2024)
RR
Arkansas(6/4/2024)
RR
California(6/4/2024)
RR
Colorado(6/4/2024)
RR
Connecticut(6/4/2024)
RR
Delaware(6/4/2024)
RR
District of Columbia(6/4/2024)
RR
Florida(6/4/2024)
RR
Georgia(6/4/2024)
RR
Hawaii(6/4/2024)
RR
Idaho(6/4/2024)
RR
Illinois(11/30/2023)
RR
Indiana(11/30/2023)
RR
Iowa(11/30/2023)
RR
Kansas(6/4/2024)
RR
Kentucky(11/30/2023)
RR
Louisiana(6/4/2024)
RR
Maine(6/4/2024)
RR
Maryland(6/4/2024)
RR
Massachusetts(6/4/2024)
RR
Michigan(11/30/2023)
RR
Minnesota(11/30/2023)
RR
Mississippi(6/4/2024)
RR
Missouri(11/30/2023)
RR
Montana(6/4/2024)
RR
Nebraska(6/4/2024)
RR
Nevada(6/4/2024)
RR
New Hampshire(6/4/2024)
RR
New Jersey(6/4/2024)
RR
New Mexico(6/4/2024)
RR
New York(11/30/2023)
RR
North Carolina(6/4/2024)
RR
North Dakota(6/4/2024)
RR
Ohio(11/30/2023)
RR
Oklahoma(6/4/2024)
RR
Oregon(6/4/2024)
RR
Pennsylvania(6/4/2024)
RR
Rhode Island(6/4/2024)
RR
South Carolina(6/4/2024)
RR
South Dakota(6/4/2024)
RR
Tennessee(6/4/2024)
RR
Texas(6/4/2024)
RR
Utah(6/4/2024)
RR
Vermont(6/4/2024)
RR
Virginia(6/4/2024)
RR
Washington(6/4/2024)
RR
West Virginia(6/4/2024)
RR
Wisconsin(11/30/2023)
RR
Wyoming(6/4/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
