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.

• Julie Ann Jack

  IRN JAJ01105

  • SMF17 Money Laundering Reporting Officer (MLRO) (29 Mar 2023 to 1 Apr 2026)
  • [FCA CF] Material risk taker (29 Mar 2023 to 3 Jul 2023)
  • CF11 Money Laundering Reporting (9 Dec 2015 to 8 Dec 2019)
• Karan Mirpuri

  IRN KXM01853

  • CF30 Customer (12 Apr 2017 to 18 Jan 2019)
• Karl Cotier

  IRN KXC01097

  • CF30 Customer (25 Mar 2014 to 31 Aug 2014)
• Kasim Talib Shafiq Hassan

  IRN KXS09804

  • [FCA CF] Client dealing (since 2 Jan 2025)
  • CF30 Customer (27 Dec 2018 to 8 Dec 2019)
• Katharina Brieger

  IRN KXB00462

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

  IRN KXF01215

  • CF30 Customer (16 Dec 2011 to 31 Oct 2014)
• Kevin Philip Bear

  IRN KPB01025

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

  IRN KFW01022

  • CF30 Customer (10 Oct 2016 to 5 Apr 2019)
• Lauchlan Hart

  IRN LXH00568

  • [FCA CF] Client dealing (since 14 Aug 2024)
• Laura Lee Mifsud

  IRN LLM00013

  • CF30 Customer (15 Dec 2011 to 31 May 2013)

No changes recorded yet.