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Seth Adam Klein

Icapital Markets LLC

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About Seth Adam Klein

Seth Klein is a financial advisor with over 27 years of experience in the industry. Seth Klein is currently registered with Icapital Markets LLC. Previously, Seth Klein was registered with INCAPITAL LLC, LASALLE FINANCIAL SERVICES, INC., CITICORP INVESTMENT SERVICES, MUTUAL SERVICE CORPORATION and SMITH BARNEY INC. Seth Klein holds several licenses and designations including Series 3, Series 7, Series 24, Series 63, Series 65, and Series 79TO. Seth Klein is registered in 51 states.

Firm Information

Seth Klein 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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Seth Klein’s Registration & Firm History

FL

09/14/2018 - Present

Icapital Markets LLC (Boca Raton FL)

FL

04/10/2006 - 09/13/2018

INCAPITAL LLC (BOCA RATON FL)

IL

01/25/2002 - 03/24/2006

LASALLE FINANCIAL SERVICES, INC. (NORRIDGE IL)

NY

12/11/2001 - 01/29/2002

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

MA

10/02/2000 - 12/13/2001

MUTUAL SERVICE CORPORATION (BOSTON MA)

NY

12/02/1996 - 12/03/1998

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

NY

08/12/1994 - 10/04/1996

SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 02/15/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/22/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/02/1998

Series 24 - General Securities Principal Examination

BC

Issued 02/24/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/15/1995

Series 3 - National Commodity Futures Examination

BC

Issued 06/24/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Seth Adam Klein. Review regulatory record here.
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