James M. Fleig
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
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Michael Fleig's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2023 - Present
TP ICAP GLOBAL MARKETS AMERICAS LLC
Office #1: 200 Vesey Street 5th Fl And 6th Fl, New York, NY, 10281-1008June 1, 2012 - June 30, 2023
TULLETT PREBON FINANCIAL SERVICES LLC
September 27, 1999 - June 1, 2012
CHAPDELAINE TULLETT PREBON, LLC
March 12, 1998 - July 13, 1999
MUNICIPAL PARTNERS INC.
April 12, 1993 - February 26, 1998
HARTFIELD, TITUS & DONNELLY, LLC
May 9, 1990 - February 9, 1993
J.J. KENNY DRAKE, INC.
June 18, 1985 - August 5, 1989
CHAPDELAINE TULLETT PREBON, LLC
April 11, 1984 - April 22, 1985
WOLFE & HURST SECURITIES INC.
October 19, 1983 - April 11, 1984
R.D. WHITE & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationFINRA
NYSE American LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Disclosures
| Regulatory Event | 32 |
Red Flags
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