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.

• David Timothy Razzell

  IRN DTR01014

  • CF30 Customer (13 Jan 2016 to 13 Jan 2017)
• Denis Daniel Labatut

  IRN DXL01218

  • CF30 Customer (1 Aug 2011 to 7 Mar 2013)
• Donald Stuart McClumpha

  IRN DSM01056

  • [FCA CF] Material risk taker (10 Mar 2021 to 30 Jun 2022)
• ERNEST UHUMWEKPEMA IGBINOSUN

  IRN EUI01000

  • CF10 Compliance Oversight (20 Oct 2015 to 30 Dec 2016)
• Edward Charles Tucker

  IRN ECT01003

  • CF30 Customer (15 Dec 2011 to 1 Jul 2013)
• Elizabeth Beasley

  IRN EXH01255

  • [FCA CF] Material risk taker (10 Mar 2021 to 11 Nov 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (25 Sep 2020 to 11 Nov 2022)
• Elizabeth Leigh

  IRN EXL00273

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 31 Mar 2026)
• Frank Hilton Wadsworth Hentic

  IRN FHH01009

  • CF30 Customer (1 Aug 2011 to 27 Jun 2012)
• Frederick Vogels

  IRN FXV01051

  • CF3 Chief Executive (21 Jul 2016 to 8 Jul 2019)
• Gary John Mahaffey

  IRN GJM01091

  • [FCA CF] Client dealing (since 6 Oct 2023)

No changes recorded yet.