James F. Welsh
Professional summary
James Francis Welsh is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in Norwalk, Connecticut.
James is registered as a RR (Registered Representative) and started their career in finance in 1984. James has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Francis Welsh's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2023 - Present
TP ICAP GLOBAL MARKETS AMERICAS LLC
Office #1: 20 Marshall Street, Suite 200, Norwalk, CT 06854January 5, 2015 - June 30, 2023
TULLETT PREBON FINANCIAL SERVICES LLC
May 12, 1994 - January 6, 2015
W.A. CAPITAL MARKETS
February 12, 1990 - April 11, 1994
CANTOR FITZGERALD SECURITIES
February 2, 1990 - April 11, 1994
MINT BROKERS
February 11, 1985 - February 8, 1990
KMS CORPORATE BROKERS, INC.
December 18, 1984 - December 24, 1984
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/30/2023)
Exams
FINRA
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
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