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AC

Anthony Cacioppo

TP ICAP GLOBAL MARKETS AMERICAS
New York, NY 10281-1008
Some features on this profile are disabled
CRD#: 1852801
AC

Professional summary

Anthony Cacioppo, who also goes by Anthony Charles Cacioppo, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York and LIQUIDNET, INC. located in New York, New York.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 1992. Anthony has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anthony Charles Cacioppo

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 Anthony Cacioppo'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
Current

December 5, 2024 - Present

LIQUIDNET, INC.

Office #1: 200 Vesey Street 5th Floor, New York, NY 10281
BD
CRD#: 103987
NEW YORK, NY
Past

February 7, 2023 - June 30, 2023

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
New York, NY
Past

February 3, 2021 - January 31, 2023

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
Stamford, CT
Past

January 4, 2006 - November 3, 2020

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

October 22, 2003 - December 15, 2005

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

November 11, 1999 - October 22, 2003

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
NEW YORK, NY
Past

August 30, 1999 - November 9, 1999

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

September 9, 1992 - January 13, 1997

W.A. CAPITAL MARKETS

BD
CRD#: 6292
NEW YORK, NY
Past

January 27, 1992 - September 9, 1992

FUNDAMENTAL CORPORATE BOND BROKERS

BD
CRD#: 28198

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
New York
(6/30/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/28/2007
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: 6/1/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

LI
LIQUIDNET, INC.
LIQUIDNET, INC.

CRD#: 103987 / SEC#: , 8-52461

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
200 Vesey Street 5th Floor, New York, NY 10281
Mailing Address
200 Vesey Street 5th Floor, New York, NY 10281
Phone number
(212) 208-7061
Established
Delaware since 01/12/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 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 INCSOLEMEMBER
BOND, ROBERTCEO/DIRECTOR4121948
HALLIGAN, BRIAN JCHIEF COMPLIANCE OFFICER5016364
PEZEU, CHRISTIAN JEAN MICHELCHIEF FINANCIAL OFFICER5661987

Disclosures

Regulatory Event10

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

LIQUIDNET, INC.

CRD#: 103987New York, NY 10281-1008

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