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.

• Gary Pettit

  IRN GAP01038

  • CF3 Chief Executive (8 Oct 2012 to 31 Oct 2014)
• Gerard William Harvey

  IRN GWH01067

  • CF10 Compliance Oversight (1 Aug 2011 to 11 Jul 2013)
• Giles Martin

  IRN GHM01047

  • [FCA CF] Material risk taker (31 Mar 2021 to 30 Mar 2024)
• Guy Alexander Boardman

  IRN GAB01093

  • CF30 Customer (1 Aug 2011 to 16 Dec 2011)
• Hitoshi Hashiguchi

  IRN HXH01086

  • CF30 Customer (15 Dec 2011 to 15 Dec 2014)
• Ian Roy Ellis

  IRN IRE01011

  • [FCA CF] Client dealing (since 29 Jan 2026)
• James David Spencer

  IRN JDS01143

  • CF30 Customer (22 Nov 2012 to 17 Dec 2016)
• James Grist Perkins

  IRN JXG00287

  • [FCA CF] Client dealing (since 9 Sep 2024)
  • [FCA CF] Client dealing (27 Apr 2020 to 22 Feb 2023)
• James Pecoraro

  IRN JXP16347

  • [FCA CF] Client dealing (since 5 Jun 2020)
• Jane Margaret Queally

  IRN JXQ01012

  • CF30 Customer (15 Dec 2011 to 26 Sep 2012)

No changes recorded yet.