Brian M. Wall
Professional summary
Brian Michael Wall is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1987. Brian has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Michael Wall's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2023 - Present
TP ICAP GLOBAL MARKETS AMERICAS LLC
Office #1: 200 Vesey Street 5th Fl And 6th Fl, New York, NY, 10281-1008June 22, 2009 - June 30, 2023
TULLETT PREBON FINANCIAL SERVICES LLC
April 27, 2007 - January 6, 2010
PREBON FINANCIAL PRODUCTS INC.
October 10, 2003 - May 17, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
June 24, 1998 - September 1, 1998
INTERCAPITAL GOVERNMENT SECURITIES INC.
April 10, 1989 - July 19, 1996
EXCO RMJ INTERNATIONAL INC.
July 25, 1987 - July 19, 1996
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
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 |
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.
