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SR

Samuel S. Rugen

ICM CAPITAL MARKETS
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 7674927
SR

Professional summary

Samuel Spencer Rugen is a registered financial professional currently at ICM CAPITAL MARKETS, LLC located in New York, New York.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2023. Samuel has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samuel Spencer Rugen'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

March 3, 2023 - Present

ICM CAPITAL MARKETS, LLC

Office #1: 1178 Broadway, New York, NY 10001
BD
CRD#: 312157
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
New York
(3/3/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/20/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/3/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/17/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

IC
ICM CAPITAL MARKETS, LLC
ICM CAPITAL MARKETS, LLC

CRD#: 312157 / SEC#: , 8-70657

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1178 Broadway, New York, NY 10001
Mailing Address
228 Park Avenue South Pmb 44954, New York, NY 10003-1502
Phone number
(917) 342-2224
Established
Delaware since 11/24/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HUM CAPITAL, INC. (F/K/A CAPITAL TECHNOLOGY SOLUTIONS INC.)OWNER
BROWN, SCOTTFINOP6694802
JACOBS, ALLISON DEECHIEF EXECUTIVE OFFICER4589213
SIXBEY, ALEXANDERCHIEF COMPLIANCE OFFICER5308440

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

ICM CAPITAL MARKETS, LLC

CRD#: 312157New York, NY 10001

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