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MS

Michael J. Smale

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CRD#: 831557
MS

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.

Michael John Smale was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1977. Michael had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 18, Series 7, Series 24 and Series 53 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 29, 2018 - November 28, 2018

ICAPITAL MARKETS LLC

BD
CRD#: 118219
Delray Beach, FL
Past

February 16, 2017 - December 10, 2019

HALO SECURITIES, LLC

BD
CRD#: 279029
OAK BROOK, IL
Past

September 26, 2011 - January 19, 2016

INSPEREX LLC

BD
CRD#: 101420
CHICAGO, IL
Past

March 3, 2008 - January 29, 2009

CABRERA CAPITAL MARKETS, LLC

BD
CRD#: 10081
CHICAGO, IL
Past

May 22, 2007 - October 3, 2007

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

October 2, 2000 - December 13, 2007

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
NEW YORK, NY
Past

December 12, 1994 - October 11, 2000

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

May 5, 1989 - December 2, 1994

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

April 27, 1982 - June 12, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

January 3, 1977 - June 4, 1977

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/31/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/14/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 18
Date: 6/19/1982
Securities Industry Rules and Regulations Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/1976
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/17/2012
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/20/1996
Municipal Securities Principal Examination

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#: 118219

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