Alton C. Wickman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alton Carver Wickman, who also goes by A Carver Wickman, Acarver Wickman, Carver Wickman, was a registered financial professional .
Alton is a previously registered financial professional and started their career in finance in 1980. Alton had worked at 7 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 3, Series 5, Series 7, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2015 - December 17, 2019
ICBA SECURITIES
July 29, 2009 - December 23, 2014
ICBA SECURITIES
July 29, 2009 - April 6, 2021
VINING-SPARKS IBG, LLC
February 25, 2008 - June 4, 2009
FTN EQUITY CAPITAL MARKETS CORP.
January 7, 2005 - February 27, 2008
FHN FINANCIAL SECURITIES CORP.
April 11, 2002 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 30, 1987 - April 3, 2002
GOLDMAN SACHS & CO. LLC
July 29, 1983 - October 27, 1987
GOLDMAN SACHS MONEY MARKETS INC.
October 22, 1980 - August 7, 1983
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 10/11/2023
General Securities Representative ExaminationSeries 79TO
Date: 10/11/2023
Investment Banking Registered Representative ExaminationSeries 5
Date: 11/23/1982
Interest Rate Options ExaminationSeries 8
Date: 7/27/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ICBA SECURITIES
CRD#: 24088 / SEC#: , 8-40867
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICBA SERVICES NETWORK, INC. | OWNER | |
| BATES, THOMAS EUGENE | DIRECTOR | 7598713 |
| BITTINGER, AZA HARRISON JR. | DIRECTOR | 4169602 |
| FOSTER, BRENDA KAY | DIRECTOR | |
| GUERRA, GABE | DIRECTOR | 7910566 |
| HEID, BLAKE AARON | DIRECTOR | 7598685 |
| JORDE, TERRY JEAN | SECRETARY | 2643666 |
| KINZER, CAROL ANN | FINANCIAL AND OPERATIONS PRINCIPAL | 4519471 |
| REBER, JAMES LEO | PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER | 1809879 |
| ROMERO RAINEY, REBECA MARIA | DIRECTOR | 6989824 |
| TWEDDLE, KEVIN MATTHEW | DIRECTOR | 7152050 |
| WANICHEK, CRAIG ALAN | DIRECTOR | 2352101 |
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.
