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Find, Compare and Monitor Financial Advisors at ICG CAPITAL SECURITIES, LLC

CRD#: 169661
BD

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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

ICG CAPITAL SECURITIES, LLC is located at 201 South College Street Suite 1610, Charlotte, NC 28244 and was first established at Atlanta, North Carolina in 10/22/2013. After operating for 12 years, ICG CAPITAL SECURITIES, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of ICG CAPITAL SECURITIES, LLC’s clients are individuals and 0% of their clients are high net worth individuals. ICG CAPITAL SECURITIES, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at ICG CAPITAL SECURITIES, LLC are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access ICG CAPITAL SECURITIES, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at ICG CAPITAL SECURITIES, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for ICG CAPITAL SECURITIES, LLC Comes From

Understanding the Statistics for ICG CAPITAL SECURITIES, LLC and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
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Clients
Total
No Information
Individuals
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HNWI
No Information
Firm Disclosures
No Disclosures

FIRM INFORMATION

Main Address
201 South College Street Suite 1610, Charlotte, NC 28244
Mailing Address
201 South College Street Suite 1610, Charlotte, NC 28244
Firm Size
Small
Phone Number
(704) 332-1930
Established
North Carolina since 10/22/2013
Firm Type
Limited Liability Company
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS


DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
UPTON, SCOTT CHANDLERMEMBER, CEO, AMLCO2375370
CARTER, ANA RFINOP4424794
PAVERMAN, MARK ELLIOTCHIEF COMPLIANCE OFFICER1046105

The Importance of Understanding a Firm’s Role when Evaluating an Advisor

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Advisor's working at ICG CAPITAL SECURITIES, LLC

SU

Scott Chandler Upton

Scott Upton
RR
CRD#: 2375370
Location:
Charlotte, NC 28244
Company:
ICG CAPITAL SECURITIES, LLC
Disclosures:
Experience:
31 years
View Profile
IM

Ian Morris

Ian Crosby Morris
RR
CRD#: 4884704
Location:
Charlotte, NC 28244
Company:
ICG CAPITAL SECURITIES, LLC
Disclosures:
Experience:
2 years
View Profile
AC

Ana Roumenova Carter

Ana Roumenova Bagaleva, Ana Carter, Ana R Carter, Ana Roumenova Pirinski, Ana Pirinski
RR
CRD#: 4424794
Location:
Tampa, FL 33602
Company:
LCG CAPITAL ADVISORS, LLC
Disclosures:
Experience:
16 years
View Profile
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