Steven J. Sartorius
Professional summary
Steven James Sartorius is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1987. Steven has worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven James Sartorius's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 29, 2010 - Present
TP ICAP GLOBAL MARKETS AMERICAS LLC
Office #1: 200 Vesey Street 5th Fl And 6th Fl, New York, NY, 10281-1008December 1, 2004 - November 4, 2008
ICAP SECURITIES USA LLC
April 8, 2002 - December 31, 2004
GARBAN CAPITAL MARKETS LLC
May 24, 2000 - February 26, 2001
LEHMAN BROTHERS INC.
June 9, 1999 - April 11, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 9, 1997 - March 25, 1999
BARCLAYS CAPITAL INC.
December 13, 1996 - May 12, 1997
ING BARING (U.S.) SECURITIES, INC.
September 22, 1987 - August 8, 1988
J.P. MORGAN 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
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationFINRA
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 |
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