Kevin J. Roughley

TP ICAP GLOBAL MARKETS AMERICAS LLC

New York, NY 10281-1008

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CRD#: 1754367

Professional summary

Kevin John Roughley is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1988. Kevin has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

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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

CRD#: 2762

New York, NY

Past

June 1, 2012 - June 30, 2023

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

New York, NY

Past

October 11, 2007 - June 1, 2012

CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017

NEW YORK, NY

Past

June 17, 2002 - October 4, 2007

MUNICIPAL PARTNERS, LLC

CRD#: 119992

NEW YORK, NY

Past

March 12, 2002 - August 8, 2002

MINT BROKERS

CRD#: 13681

NEW YORK, NY

Past

March 21, 2001 - February 8, 2002

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

March 21, 1997 - April 23, 2001

CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017

NEW YORK, NY

Past

September 22, 1993 - February 3, 1997

MUNICIPAL PARTNERS INC.

CRD#: 24513

NEW YORK, NY

Past

June 9, 1989 - August 30, 1993

CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017

NEW YORK, NY

Past

May 11, 1988 - April 7, 1989

J.J. KENNY DRAKE, INC.

CRD#: 7118

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(6/30/2023)

Exams

State Security Law Exam

Series 63

Date: 8/11/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/28/2001

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762 / SEC#: , 8-12726

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)

Documents

Direct owners and executive officers

Name	Position	CRD#
ICAP GLOBAL BROKING INC.	SOLE MEMBER
BERNARDO, SHAWN FRANCIS	CEO	2513376
GOULET, STEPHEN PAUL	SENIOR MANAGING DIRECT/GENERAL COUNSEL/SECRETARY	4769810
HALLIGAN, BRIAN J	CHIEF COMPLIANCE OFFICER	5016364
PEZEU, CHRISTIAN JEAN MICHEL	PRINCIPAL FINANCIAL OFFICER	5661987

Disclosures

Regulatory Event

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.

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Kevin J. Roughley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin John Roughley's CRS (Customer Relationship Summary).

Certified licenses

Experience

TULLETT PREBON FINANCIAL SERVICES LLC

CHAPDELAINE TULLETT PREBON, LLC

MUNICIPAL PARTNERS, LLC

MINT BROKERS

RAYMOND JAMES & ASSOCIATES, INC.

CHAPDELAINE TULLETT PREBON, LLC

MUNICIPAL PARTNERS INC.

CHAPDELAINE TULLETT PREBON, LLC

J.J. KENNY DRAKE, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/11/1988

SIE

Date: 10/1/2018

Series 7

Date: 8/28/2001

FINRA

Nasdaq PHLX LLC

Nasdaq Stock Market

Current Firm

TP ICAP GLOBAL MARKETS AMERICAS LLC

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TP ICAP GLOBAL MARKETS AMERICAS LLC

TRUST BUT VERIFY

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