TP ICAP Global Markets Americas LLC

• Principal Place of Business

  200 Vesey Street

  New York

  NY

  10281

  UNITED STATES OF AMERICA

  Phone

  +12015575000

  Web

  https://tpicap.com/tpicap/

• Complaints Contact

  135 Bishopsgate

  London

  EC2M 3TP

  UNITED KINGDOM

  Phone

  +442070005000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security)

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• ASSAD FEHMY

  IRN AXF01658

  • CF30 Customer (16 Dec 2014 to 8 Dec 2019)
• Aaron Gresty

  IRN ABG01020

  • CF30 Customer (15 Dec 2011 to 15 Dec 2014)
• Adam Bishop

  IRN AXB01445

  • CF30 Customer (15 Dec 2011 to 13 Sep 2013)
• Adam Hasan

  IRN AXH00410

  • [FCA CF] Manager of certification employee (1 Jul 2023 to 31 Mar 2025)
  • [FCA CF] Material risk taker (1 Jan 2023 to 31 Mar 2025)
• Alannah Redington

  IRN AXR00323

  • [FCA CF] Client dealing (27 Apr 2020 to 14 Oct 2024)
• Alexandre Romain Jerome Dutheil

  IRN ARD01146

  • CF30 Customer (7 Feb 2014 to 18 Jul 2014)
• Amir Zaidi

  IRN AXZ00044

  • [FCA CF] Manager of certification employee (31 Mar 2021 to 2 Jan 2024)
• Andrew James Morgan

  IRN AJM01399

  • CF30 Customer (15 Dec 2011 to 31 Oct 2014)
• Andrew Keith Hutt

  IRN AKH01076

  • [FCA CF] Material risk taker (10 Mar 2021 to 16 Jul 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 16 Jul 2021)
  • CF10 Compliance Oversight (29 Mar 2018 to 8 Dec 2019)
• Anna Nicolis

  IRN AXN00134

  • [FCA CF] Material risk taker (31 Mar 2021 to 2 Jul 2021)

No changes recorded yet.