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.

• Paul Stephen Robinson

  IRN PSR01034

  • CF30 Customer (20 Jan 2012 to 31 May 2014)
• Paul Teophan Valery Baudry

  IRN PXB02011

  • CF30 Customer (1 Aug 2011 to 17 Jan 2014)
• Peter Robert Gough

  IRN PRG01039

  • CF30 Customer (26 Apr 2012 to 4 Jun 2015)
• Philip Langridge

  IRN PJL01103

  • CF30 Customer (15 Dec 2011 to 14 Oct 2014)
• Pierre-Louis Francois Michel Marie Letrillart

  IRN PFL01038

  • CF30 Customer (7 Jul 2017 to 12 Oct 2018)
• Raakhee Jagwani

  IRN RXJ00130

  • [FCA CF] Material risk taker (31 Mar 2021 to 30 Mar 2023)
• Richard Brooks

  IRN RCB01123

  • CF30 Customer (1 Aug 2011 to 16 Dec 2011)
• Richard Cordeschi

  IRN RXC00334

  • [FCA CF] Material risk taker (31 Mar 2021 to 1 Apr 2022)
• Richard Elmitt

  IRN RME01052

  • [FCA CF] Material risk taker (31 Mar 2021 to 31 Mar 2024)
  • [FCA CF] Significant management (31 Mar 2021 to 31 Mar 2024)
• Ricky Dunn

  IRN RXD01228

  • CF30 Customer (13 Jan 2012 to 31 Oct 2014)

No changes recorded yet.