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Hom Whe Tan

Icapital Markets LLC

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About Hom Whe Tan

Hom Tan has been in the securities industry since April 9, 2011. Hom Tan is currently registered with Icapital Markets LLC. Hom Tan is also registered as a Registered Representative in New York. Hom Tan was previously registered with ICAPITAL SECURITIES, LLC, COHEN & STEERS SECURITIES, LLC, INVESCO DISTRIBUTORS, INC., DEAWM DISTRIBUTORS, INC., DEUTSCHE BANK SECURITIES INC., ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC and MBSC SECURITIES CORPORATION. Hom Tan is also licensed in New York to sell securities. Hom Tan has passed the Series 63, Series 24, Series 7 and SIE exams.

Firm Information

Hom Tan is currently registered with Icapital Markets LLC. Icapital Markets LLC is a Limited Liability Company that was formed on August 13, 2001. The company is registered in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. Icapital Markets LLC is also registered with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

219

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Hom Tan’s Registration & Firm History

NY

07/13/2023 - Present

Icapital Markets LLC (NEW YORK NY)

NY

03/01/2022 - 11/30/2023

ICAPITAL SECURITIES, LLC (NEW YORK NY)

NY

05/25/2018 - 01/04/2022

COHEN & STEERS SECURITIES, LLC (NEW YORK NY)

GA

11/06/2017 - 03/01/2018

INVESCO DISTRIBUTORS, INC. (ATLANTA GA)

FL

02/11/2015 - 11/19/2015

DEAWM DISTRIBUTORS, INC. (JACKSONVILLE FL)

FL

08/11/2014 - 02/11/2015

DEUTSCHE BANK SECURITIES INC. (JACKSONVILLE FL)

NY

03/08/2010 - 03/18/2013

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC (NEW YORK NY)

NY

07/11/2007 - 03/04/2010

MBSC SECURITIES CORPORATION (UNIONDALE NY)

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Licenses & Designations

BC

Issued 08/13/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/12/2008

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/10/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Hom Whe Tan.
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