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MA

Michael Amis

ICAPITAL MARKETS
Princeton, NJ 08540
CRD#: 6675268
Some features on this profile are disabled
MA
Michael AmisICAPITAL MARKETS

Professional summary

Michael Amis, who also goes by Michael David Amis, is a registered financial professional currently at ICAPITAL MARKETS LLC located in Princeton, New Jersey.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2016. Michael has worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 4, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael David Amis

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 Michael Amis'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 8, 2026 - Present

ICAPITAL MARKETS LLC

Office #1: 214 Carnegie Center Suite 203, Princeton, NJ 08540
BD
CRD#: 118219
Princeton, NJ
Past

October 7, 2016 - May 7, 2026

MORGAN STANLEY

RIA
CRD#: 149777
SOUTH JORDAN, UT
Past

August 30, 2016 - May 7, 2026

MORGAN STANLEY

BD
CRD#: 149777
SOUTH JORDAN, UT

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
Utah
(6/8/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/6/2016
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: 8/30/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/8/2021
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/19/2021
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/25/2021
General Securities Sales Supervisor - General Module 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)

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#: 118219Princeton, NJ 08540

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