James A. Rhead
Professional summary
James A Rhead, who also goes by James A Rhead, James Aloysius Rhead Jr, James Aloysius Rhead, 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 2014. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James A Rhead'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, 10281-1008January 22, 2018 - June 30, 2023
TULLETT PREBON FINANCIAL SERVICES LLC
August 21, 2014 - January 16, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 18, 2014 - January 16, 2018
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)
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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