Robert W. Mcintyre
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.
Robert Walter Mcintyre, who also goes by Robert W Mcintyre, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - January 10, 2023
ICAP SECURITIES USA LLC
May 19, 2010 - December 16, 2010
CHAPDELAINE TULLETT PREBON, LLC
January 31, 2007 - January 19, 2010
TRADITION SECURITIES AND DERIVATIVES LLC
December 5, 2005 - January 31, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
January 4, 2005 - January 3, 2006
B. RILEY WEALTH MANAGEMENT
August 9, 2004 - January 4, 2005
ICAP SECURITIES USA LLC
August 4, 2003 - August 9, 2004
RAFFERTY CAPITAL MARKETS, LLC
February 15, 2002 - August 6, 2003
ICAP SECURITIES USA LLC
March 22, 1999 - January 25, 2002
ICAP SECURITIES USA LLC
July 8, 1988 - March 22, 1999
TULLETT LIBERTY BROKERAGE INC.
July 25, 1987 - June 14, 1988
INTERCAPITAL GOVERNMENT SECURITIES 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
Current 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.
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