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.

• Lee Michael Burrows

  IRN LMB01056

  • CF30 Customer (1 Aug 2011 to 31 Oct 2014)
• Lucas Stalick

  IRN LXS01103

  • CF30 Customer (1 Aug 2011 to 31 Oct 2014)
• Lucy Mayhew

  IRN LXM01553

  • [FCA CF] Significant management (31 Mar 2021 to 1 Jan 2025)
• Marius Radu Floca

  IRN MXF36042

  • SMF16 Compliance Oversight (since 8 Dec 2021)
  • [FCA CF] Material risk taker (31 Oct 2021 to 31 Dec 2024)
• Mark Pointer

  IRN MXP71152

  • [FCA CF] Material risk taker (since 10 Mar 2021)
• Martin Lewis

  IRN MAL01089

  • [FCA CF] Client dealing (since 5 Nov 2020)
  • [FCA CF] Manager of certification employee (since 5 Nov 2020)
  • [FCA CF] Material risk taker (1 Jan 2023 to 3 Jul 2023)
  • CF30 Customer (13 Sep 2014 to 8 Dec 2019)
• Martin Ryan

  IRN MXR24497

  • [FCA CF] Material risk taker (10 Mar 2021 to 17 Mar 2023)
• Matthew John Black

  IRN MJB01305

  • CF30 Customer (1 Aug 2011 to 30 Jun 2014)
• Michael Anthony Riffice

  IRN MAR01123

  • CF29 Significant management (1 Aug 2011 to 1 Nov 2011)
  • CF30 Customer (1 Aug 2011 to 1 Nov 2011)
• Moinuddin Ahmed

  IRN MXA00618

  • [FCA CF] Material risk taker (31 Mar 2021 to 13 Aug 2021)

No changes recorded yet.