Anthony C. Cacioppo

TP ICAP GLOBAL MARKETS AMERICAS LLC

New York, NY 10281-1008

Some features on this profile are disabled

CRD#: 1852801

Professional summary

Anthony Charles 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"?

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 Charles 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

CRD#: 2762

New York, NY

Current

December 5, 2024 - Present

LIQUIDNET, INC.

Office #1: 200 Vesey Street 5th Floor, New York, NY 10281

CRD#: 103987

NEW YORK, NY

Past

February 7, 2023 - June 30, 2023

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

New York, NY

Past

February 3, 2021 - January 31, 2023

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

Stamford, CT

Past

January 4, 2006 - November 3, 2020

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

October 22, 2003 - December 15, 2005

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

NEW YORK, NY

Past

November 11, 1999 - October 22, 2003

CHAPDELAINE CORPORATE SECURITIES & CO

CRD#: 23741

NEW YORK, NY

Past

August 30, 1999 - November 9, 1999

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

September 9, 1992 - January 13, 1997

W.A. CAPITAL MARKETS

CRD#: 6292

NEW YORK, NY

Past

January 27, 1992 - September 9, 1992

FUNDAMENTAL CORPORATE BOND BROKERS

CRD#: 28198

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: 9/28/2007

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: 6/1/1999

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

LIQUIDNET, INC.

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

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See 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)

Documents

Direct owners and executive officers

Name	Position	CRD#
ICAP GLOBAL BROKING INC	SOLEMEMBER
BOND, ROBERT	CEO/DIRECTOR	4121948
GOULET, STEPHEN PAUL	SENIOR MANAGING DIRECT/GENERAL COUNSEL/SECRETARY	4769810
HALLIGAN, BRIAN J	CHIEF COMPLIANCE OFFICER	5016364
PEZEU, CHRISTIAN JEAN MICHEL	CHIEF 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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Anthony C. Cacioppo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anthony Charles Cacioppo's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIQUIDNET, INC.

TULLETT PREBON FINANCIAL SERVICES LLC

TRADITION SECURITIES AND DERIVATIVES LLC

BGC FINANCIAL, L.P.

TULLETT PREBON FINANCIAL SERVICES LLC

CHAPDELAINE CORPORATE SECURITIES & CO

COWEN AND COMPANY

W.A. CAPITAL MARKETS

FUNDAMENTAL CORPORATE BOND BROKERS

State Registrations and Notice Filings

Exams

Series 63

Date: 9/28/2007

SIE

Date: 10/1/2018

Series 7

Date: 6/1/1999

FINRA

NYSE American LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

LIQUIDNET, INC.

Contact information

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LIQUIDNET, INC.

TRUST BUT VERIFY

Similar Advisors