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.

• Jason Willis

  IRN JXW01326

  • [FCA CF] Client dealing (since 30 Jun 2022)
  • CF30 Customer (13 Jan 2016 to 8 Dec 2019)
• Jeremy Mark Hopkins

  IRN JMH01143

  • CF30 Customer (1 Aug 2011 to 30 Nov 2014)
• Jianli Kenny Yue

  IRN JKY01007

  • CF30 Customer (18 Nov 2016 to 8 Dec 2019)
• John Charles Ruskin

  IRN JCR01061

  • SMF19 Head of Overseas Branch/Head of Overseas (23 Jul 2020 to 30 Jun 2022)
• John Phimister Sievwright

  IRN JPS01230

  • CF2 Non Executive Director (1 Aug 2011 to 4 Nov 2011)
• John Richard Cockrell

  IRN JRC01105

  • CF30 Customer (15 Dec 2011 to 11 May 2016)
• John Richard Steptoe

  IRN JXS01655

  • CF30 Customer (1 Aug 2011 to 30 Nov 2014)
• John Sawyer

  IRN JXS01874

  • [FCA CF] Manager of certification employee (since 11 Sep 2020)
  • [FCA CF] Client dealing (since 11 Sep 2020)
  • CF30 Customer (13 Sep 2014 to 8 Dec 2019)
• Joseph Nicholas Dervish

  IRN JXD02456

  • CF10 Compliance Oversight (31 Jan 2017 to 15 Dec 2017)
• Joseph Sealey

  IRN JXS00719

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

No changes recorded yet.