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JR

John G. Reardon

Some features on this profile are disabled
CRD#: 2042196
JR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John G Reardon, who also goes by John Gerard Reardon Jr, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1990. John had worked at 9 firms and has passed the Series 72, Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Gerard Reardon Jr

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 9, 2022 - March 15, 2023

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

June 9, 2022 - March 15, 2023

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NEW YORK, NY
Past

June 9, 2022 - March 15, 2023

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY
Past

May 5, 2017 - April 7, 2022

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY
Past

August 5, 2003 - April 7, 2022

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NEW YORK, NY
Past

September 20, 2000 - December 7, 2000

INTERCAPITAL INTERNATIONAL INC.

BD
CRD#: 22109
NEW YORK, NY
Past

July 17, 2000 - September 20, 2000

INTERCAPITAL INTERNATIONAL INC.

BD
CRD#: 22109
NEW YORK, NY
Past

August 23, 1999 - April 28, 2000

INTERCAPITAL GOVERNMENT SECURITIES INC.

BD
CRD#: 19710
NEW YORK, NY
Past

July 15, 1997 - August 1, 2003

INTERCAPITAL SECURITIES LLC

BD
CRD#: 20004
JERSEY CITY, NJ
Past

January 20, 1993 - August 8, 1995

INTERCAPITAL SECURITIES LLC

BD
CRD#: 20004
JERSEY CITY, NJ
Past

June 15, 1992 - September 9, 1992

FUNDAMENTAL CORPORATE BOND BROKERS

BD
CRD#: 28198
Past

June 15, 1992 - September 9, 1992

FUNDAMENTAL BROKERS

BD
CRD#: 28197
Past

March 5, 1990 - April 8, 1991

LEHMAN GOVERNMENT SECURITIES INC.

BD
CRD#: 19655

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/15/1993
General Securities Representative Examination

Current Firm

TP
TULLETT PREBON FINANCIAL SERVICES LLC
COWEN GOVERNMENT BROKERS, L.P. | TULLETT PREBON FINANCIAL SERVICES LLC | TULLETT LIBERTY SECURITIES LLC | TULLETT LIBERTY SECURITIES INC. | TULLETT & TOKYO LIBERTY SECURITIES INC. | PATRIOT SECURITIES, L.P. | PATRIOT SECURITIES, INC. | LIBERTY PATRIOT SECURITIES INC. | LIBERTY BROKERAGE SECURITIES INC.

CRD#: 28196 / SEC#: , 8-43487

BD
Terminated by SEC on 09/09/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/30/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TP ICAP AMERICAS HOLDINGS INC.100% OWNER
BERNARDO, SHAWN FRANCISCEO2513376
DESIMONE, LISA MARIECHIEF COMPLIANCE OFFICER2691368
GOULET, STEPHEN PAULSENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY4769810
PEZEU, CHRISTIAN JEAN MICHELPRINCIPAL FINANCIAL OFFICER5661987

Disclosures

Regulatory Event17

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

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

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