James M. Fleig

TP ICAP GLOBAL MARKETS AMERICAS LLC

New York, NY 10281-1008

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CRD#: 1193908

Professional summary

James Michael Fleig, who also goes by Jim Fleig, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1983. James has worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Fleig

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Michael Fleig's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 30, 2023 - Present

TP ICAP GLOBAL MARKETS AMERICAS LLC

Office #1: 200 Vesey Street 5th Fl And 6th Fl, New York, NY, 10281-1008

CRD#: 2762

New York, NY

Past

June 1, 2012 - June 30, 2023

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

New York, NY

Past

September 27, 1999 - June 1, 2012

CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017

NEW YORK, NY

Past

March 12, 1998 - July 13, 1999

MUNICIPAL PARTNERS INC.

CRD#: 24513

NEW YORK, NY

Past

April 12, 1993 - February 26, 1998

HARTFIELD, TITUS & DONNELLY, LLC

CRD#: 7117

JERSEY CITY, NJ

Past

May 9, 1990 - February 9, 1993

J.J. KENNY DRAKE, INC.

CRD#: 7118

NEW YORK, NY

Past

June 18, 1985 - August 5, 1989

CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017

Past

April 11, 1984 - April 22, 1985

WOLFE & HURST SECURITIES INC.

CRD#: 7352

Past

October 19, 1983 - April 11, 1984

R.D. WHITE & CO., INC.

CRD#: 7011

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 7/12/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/19/1993

Municipal Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762 / SEC#: , 8-12726

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

200 Vesey Street 6th Floor, New York, NY 10285

Mailing Address

200 Vesey Street 6th Floor, New York, NY 10285

Phone number

(201) 984-6889

Established

Delaware since 06/30/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ICAP GLOBAL BROKING INC.	SOLE MEMBER
BERNARDO, SHAWN FRANCIS	CEO	2513376
GOULET, STEPHEN PAUL	SENIOR MANAGING DIRECT/GENERAL COUNSEL/SECRETARY	4769810
HALLIGAN, BRIAN J	CHIEF COMPLIANCE OFFICER	5016364
PEZEU, CHRISTIAN JEAN MICHEL	PRINCIPAL FINANCIAL OFFICER	5661987

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James M. Fleig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Michael Fleig's CRS (Customer Relationship Summary).

Certified licenses

Experience

TULLETT PREBON FINANCIAL SERVICES LLC

CHAPDELAINE TULLETT PREBON, LLC

MUNICIPAL PARTNERS INC.

HARTFIELD, TITUS & DONNELLY, LLC

J.J. KENNY DRAKE, INC.

CHAPDELAINE TULLETT PREBON, LLC

WOLFE & HURST SECURITIES INC.

R.D. WHITE & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/12/1993

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 7

Date: 10/15/1983

Series 53

Date: 10/19/1993

FINRA

Nasdaq PHLX LLC

Nasdaq Stock Market

Current Firm

TP ICAP GLOBAL MARKETS AMERICAS LLC

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TP ICAP GLOBAL MARKETS AMERICAS LLC

TRUST BUT VERIFY

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