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RL

Roman Lyniuk

Some features on this profile are disabled
CRD#: 1459869
RL

Professional summary

Roman Lyniuk was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Roman is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Roman had worked at 15 firms, which includes TULLETT PREBON FINANCIAL SERVICES LLC, VTRADER PRO LLC, GOLDEN BENEFICIAL SECURITIES CORPORATION, WORLDCO L.L.C., SUNSTATE EQUITY TRADING, A.B. WATLEY INC., ELECTRONIC TRADING GROUP LLC, ATLANTIS CAPITAL MARKETS SECURITIES LLC, SHARPE CAPITAL INC., STRATEGIC RISK MANAGEMENT INC., OSCAR GRUSS & SON INCORPORATED, NATWEST MARKETS SECURITIES INC., HSBC SECURITIES (USA) INC., REFCO SECURITIES LLC, KUHNS BROTHERS & LAIDLAW INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 22, 2009 - October 13, 2010

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
JERSEY CITY, NJ
Past

April 26, 2006 - January 3, 2008

VTRADER PRO, LLC

BD
CRD#: 131920
SAN FRANCISCO, CA
Past

February 14, 2005 - April 27, 2006

GOLDEN BENEFICIAL SECURITIES CORPORATION

BD
CRD#: 48029
HOUSTON, TX
Past

June 30, 2003 - July 28, 2003

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY
Past

February 20, 2003 - July 21, 2003

SUNSTATE EQUITY TRADING

BD
CRD#: 43571
TAMPA, FL
Past

October 17, 2002 - December 17, 2002

A.B. WATLEY, INC.

BD
CRD#: 797
NEW YORK, NY
Past

October 16, 2001 - September 13, 2002

ELECTRONIC TRADING GROUP, LLC

BD
CRD#: 37453
NEW YORK, NY
Past

October 31, 2000 - June 3, 2002

ATLANTIS CAPITAL MARKETS SECURITIES LLC

BD
CRD#: 104385
NEW YORK, NY
Past

December 2, 1998 - April 7, 1999

SHARPE CAPITAL, INC.

BD
CRD#: 18452
NEW YORK, NY
Past

January 27, 1998 - March 15, 1998

STRATEGIC RISK MANAGEMENT, INC.

BD
CRD#: 29852
NEW YORK, NY
Past

August 1, 1997 - December 23, 1997

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY
Past

January 2, 1997 - April 18, 1997

OSCAR GRUSS & SON INCORPORATED

BD
CRD#: 2091
NEW YORK, NY
Past

November 21, 1994 - January 9, 1995

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

August 7, 1993 - November 17, 1993

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

July 24, 1986 - August 6, 1987

REFCO SECURITIES, LLC

BD
CRD#: 14094
Past

March 19, 1986 - June 2, 1986

KUHNS BROTHERS & LAIDLAW, INC.

BD
CRD#: 1481

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
RR
Series 63
Date: 8/28/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 6/24/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 10/12/1998
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 15
Date: 9/6/1984
Foreign Currency Options Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/26/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/15/2000
General Securities Principal Examination

Current Firm

TP
TULLETT PREBON FINANCIAL SERVICES LLC
COWEN GOVERNMENT BROKERS, L.P. | TULLETT PREBON FINANCIAL SERVICES LLC | TULLETT LIBERTY SECURITIES LLC | TULLETT LIBERTY SECURITIES INC. | TULLETT & TOKYO LIBERTY SECURITIES INC. | PATRIOT SECURITIES, L.P. | PATRIOT SECURITIES, INC. | LIBERTY PATRIOT SECURITIES INC. | LIBERTY BROKERAGE SECURITIES INC.

CRD#: 28196 / SEC#: , 8-43487

BD
Terminated by SEC on 09/09/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/30/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TP ICAP AMERICAS HOLDINGS INC.100% OWNER
BERNARDO, SHAWN FRANCISCEO2513376
DESIMONE, LISA MARIECHIEF COMPLIANCE OFFICER2691368
GOULET, STEPHEN PAULSENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY4769810
PEZEU, CHRISTIAN JEAN MICHELPRINCIPAL FINANCIAL OFFICER5661987

Disclosures

Regulatory Event17

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.

Company Information

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

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