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LL

Lawrence S. Lester

TP ICAP GLOBAL MARKETS AMERICAS LLC
New York, NY 10281-1008
Some features on this profile are disabled
CRD#: 1680293
LL

Professional summary

Lawrence Scott Lester, who also goes by Larry Lester, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.

Lawrence is registered as a RR (Registered Representative) and started their career in finance in 1987. Lawrence has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Larry Lester

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 Lawrence Scott Lester'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: 200 Vesey Street 5th Fl And 6th Fl, New York, NY, 10281-1008
BD
CRD#: 2762
New York, NY
Past

September 11, 2009 - June 30, 2023

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
New York, NY
Past

April 27, 2007 - January 6, 2010

PREBON FINANCIAL PRODUCTS INC.

BD
CRD#: 29551
NEW YORK, NY
Past

September 13, 2004 - May 17, 2007

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
NEW YORK, NY
Past

February 12, 2002 - September 10, 2004

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

July 12, 2000 - February 12, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

May 18, 1995 - December 5, 1996

LIBERTY BROKERS

BD
CRD#: 32391
NEW YORK, NY
Past

March 25, 1992 - June 29, 2000

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

April 10, 1989 - January 3, 1992

EXCO RMJ INTERNATIONAL INC.

BD
CRD#: 21287
Past

November 10, 1988 - January 3, 1992

INTERCAPITAL GOVERNMENT SECURITIES INC.

BD
CRD#: 19710
NEW YORK, NY
Past

January 19, 1988 - August 16, 1988

BGC FINANCIAL, L.P.

BD
CRD#: 19801
Past

July 25, 1987 - January 4, 1988

FUNDAMENTAL BROKERS

BD
CRD#: 19837

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
Illinois
(6/30/2023)
RR
New York
(6/30/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/14/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/7/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/5/1989
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market

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#: 2762New York, NY 10281-1008

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