James J. Krall
Professional summary
James Jay Krall, who also goes by James J Krall, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1987. James has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Jay Krall'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 28, 2010 - June 30, 2023
ICAP SECURITIES USA LLC
June 11, 2009 - October 13, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 15, 2002 - September 2, 2008
ICAP SECURITIES USA LLC
October 26, 1999 - January 25, 2002
ICAP SECURITIES USA LLC
May 29, 1992 - April 28, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
May 7, 1990 - May 14, 1992
CANTOR FITZGERALD SECURITIES
May 7, 1990 - May 14, 1992
MINT BROKERS
August 18, 1987 - April 19, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/30/2023)
(6/30/2023)
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
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