Denis Geoghegan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Denis Geoghegan, who also goes by Denis J Geoghegan, was a registered financial professional .
Denis is a previously registered financial professional and started their career in finance in 1991. Denis had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2018 - November 9, 2018
ICAP SECURITIES USA LLC
May 10, 2018 - November 9, 2018
TP ICAP GLOBAL MARKETS AMERICAS LLC
May 9, 2000 - April 17, 2018
TRADITION SECURITIES AND DERIVATIVES LLC
August 16, 1999 - April 10, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
July 15, 1996 - April 7, 2000
ICAP SECURITIES USA LLC
December 16, 1991 - April 7, 2000
INTERCAPITAL SECURITIES LLC
February 5, 1991 - April 7, 2000
GARBAN CAPITAL MARKETS LLC
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 62
Date: 12/13/1991
Corporate Securities Limited Representative ExaminationCurrent Firm
ICAP SECURITIES USA LLC
CRD#: 19739 / SEC#: , 8-37947
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICAP GLOBAL BROKING INC. | SOLE MEMBER | |
| BERNARDO, SHAWN FRANCIS | CEO | 2513376 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GOULET, STEPHEN PAUL | SENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY | 4769810 |
| MURPHY, GREGORY FRANCIS | CHIEF OPERATING OFFICER | 1483320 |
| PEZEU, CHRISTIAN JEAN MICHEL | PRINCIPAL FINANCIAL OFFICER | 5661987 |
Disclosures
| Regulatory Event | 3 |
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.
