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JK

James M. Kramer

ICAPITAL MARKETS LLC
New York, NY 10165
Some features on this profile are disabled
CRD#: 6561805
JK

Professional summary

James M Kramer, who also goes by James M Kramer, Jim Kramer, is a registered financial professional currently at ICAPITAL MARKETS LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2015. James has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James M Kramer | Jim Kramer

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 James M Kramer'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

November 30, 2023 - Present

ICAPITAL MARKETS LLC

Office #1: 60 East 42nd Street 26th Floor, New York, NY 10165
BD
CRD#: 118219
New York, NY
Past

August 31, 2022 - November 30, 2023

ICAPITAL SECURITIES, LLC

BD
CRD#: 171061
NEW YORK, NY
Past

March 10, 2021 - August 18, 2022

ICAPITAL MARKETS LLC

BD
CRD#: 118219
Delray Beach, FL
Past

August 6, 2019 - March 10, 2021

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
Boca Raton, FL
Past

August 5, 2019 - March 10, 2021

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
Boca Raton, FL
Past

February 28, 2017 - February 21, 2020

PGIM INVESTMENTS LLC

RIA
CRD#: 105670
Newark, NJ
Past

February 23, 2017 - July 26, 2019

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

December 21, 2015 - February 10, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

October 27, 2015 - February 10, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ

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
(11/30/2023)
RR
Alaska
(5/31/2024)
RR
Arizona
(5/31/2024)
RR
Arkansas
(11/30/2023)
RR
California
(5/31/2024)
RR
Colorado
(5/31/2024)
RR
Connecticut
(5/31/2024)
RR
Delaware
(5/31/2024)
RR
District of Columbia
(5/31/2024)
RR
Florida
(11/30/2023)
RR
Georgia
(11/30/2023)
RR
Hawaii
(5/31/2024)
RR
Idaho
(5/31/2024)
RR
Illinois
(5/31/2024)
RR
Indiana
(5/31/2024)
RR
Iowa
(5/31/2024)
RR
Kansas
(5/31/2024)
RR
Kentucky
(5/31/2024)
RR
Louisiana
(11/30/2023)
RR
Maine
(5/31/2024)
RR
Maryland
(5/31/2024)
RR
Massachusetts
(5/31/2024)
RR
Michigan
(5/31/2024)
RR
Minnesota
(5/31/2024)
RR
Mississippi
(11/30/2023)
RR
Missouri
(5/31/2024)
RR
Montana
(5/31/2024)
RR
Nebraska
(5/31/2024)
RR
Nevada
(5/31/2024)
RR
New Hampshire
(5/31/2024)
RR
New Jersey
(5/31/2024)
RR
New Mexico
(5/31/2024)
RR
New York
(11/30/2023)
RR
North Carolina
(5/31/2024)
RR
North Dakota
(5/31/2024)
RR
Ohio
(5/31/2024)
RR
Oklahoma
(11/30/2023)
RR
Oregon
(5/31/2024)
RR
Pennsylvania
(5/31/2024)
RR
Rhode Island
(5/31/2024)
RR
South Carolina
(11/30/2023)
RR
South Dakota
(5/31/2024)
RR
Tennessee
(11/30/2023)
RR
Texas
(11/30/2023)
RR
Utah
(5/31/2024)
RR
Vermont
(5/31/2024)
RR
Virginia
(5/31/2024)
RR
Washington
(5/31/2024)
RR
West Virginia
(5/31/2024)
RR
Wisconsin
(5/31/2024)
RR
Wyoming
(5/31/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/19/2015
Uniform Combined 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: 10/27/2015
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#: 118219New York, NY 10165

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