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.

• Samuel Bevin

  IRN SXB02711

  • CF11 Money Laundering Reporting (29 Jan 2013 to 21 Feb 2014)
• Shannon Bezuidenhoudt

  IRN SXB01117

  • [FCA CF] Client dealing (since 3 Jan 2023)
• Sofia Maria Edvardsson

  IRN SME01035

  • CF30 Customer (1 Aug 2011 to 30 Apr 2012)
• Sophia Parvaneh Ziaee

  IRN SPZ01003

  • CF30 Customer (27 Sep 2013 to 11 May 2016)
• Steven Arthur Woolley

  IRN SAW01145

  • CF11 Money Laundering Reporting (1 Aug 2011 to 30 Jan 2013)
• Surabhi Narendranath

  IRN SXN01307

  • CF30 Customer (13 Sep 2014 to 16 Jan 2017)
• Susan Maple

  IRN SXM03902

  • [FCA CF] Material risk taker (since 10 Mar 2021)
• Thomas Edward Sweeney

  IRN TES01008

  • CF30 Customer (1 Aug 2011 to 31 Oct 2014)
• Thomas Edwards

  IRN TXE00049

  • [FCA CF] Material risk taker (31 Mar 2021 to 13 Jul 2021)
• Tin Yun Lau

  IRN TXL00108

  • [FCA CF] Material risk taker (31 Mar 2021 to 6 Sep 2022)

No changes recorded yet.