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JS

James E. Sexton

TP ICAP GLOBAL MARKETS AMERICAS LLC
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 1607439
JS

Professional summary

James Edward Sexton is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in Boca Raton, Florida.

James is registered as a RR (Registered Representative) and started their career in finance in 1988. James has worked at 9 firms and has passed the SIE and Series 52 exams.

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) - BD

Click below to view James Edward Sexton'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: 2424 No. Federal Highway Stes 307 & 315, Boca Raton, FL 33431
BD
CRD#: 2762
Boca Raton, FL
Past

June 1, 2012 - June 30, 2023

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
BOCA RATON, FL
Past

August 21, 2007 - June 1, 2012

CHAPDELAINE TULLETT PREBON, LLC

BD
CRD#: 7017
BOCA RATON, FL
Past

June 17, 2002 - August 15, 2007

MUNICIPAL PARTNERS, LLC

BD
CRD#: 119992
NEW YORK, NY
Past

November 22, 2000 - July 31, 2001

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

July 24, 2000 - August 8, 2002

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

May 15, 1991 - July 24, 2000

MUNICIPAL PARTNERS INC.

BD
CRD#: 24513
NEW YORK, NY
Past

April 24, 1989 - March 28, 1991

J.J. KENNY DRAKE, INC.

BD
CRD#: 7118
NEW YORK, NY
Past

June 17, 1988 - April 24, 1989

CLIFFORD DRAKE & COMPANY INC.

BD
CRD#: 7092
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(6/30/2023)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 6/16/1988
Municipal Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TI
TP ICAP GLOBAL MARKETS AMERICAS LLC
GARBAN CORPORATES GP | TP ICAP GLOBAL MARKETS AMERICAS LLC | MKI SECURITIES CORP. | ICAP CORPORATES LLC | GARBAN CORPORATES, INC. | GARBAN CORPORATES LLC

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

BD
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)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ICAP GLOBAL BROKING INC.SOLE MEMBER
BERNARDO, SHAWN FRANCISCEO2513376
GOULET, STEPHEN PAULSENIOR MANAGING DIRECT/GENERAL COUNSEL/SECRETARY4769810
HALLIGAN, BRIAN JCHIEF COMPLIANCE OFFICER5016364
PEZEU, CHRISTIAN JEAN MICHELPRINCIPAL FINANCIAL OFFICER5661987

Disclosures

Regulatory Event31

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

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762Boca Raton, FL 33431

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