Sean Farrell

TP ICAP GLOBAL MARKETS AMERICAS LLC

New York, NY 10281-1008

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CRD#: 2070306

Professional summary

Sean Farrell, who also goes by Sean Patrick Farrell, Sean Patrick J Farrell, Sean Patrick Farrell, Seanpatrick Farrell, Farrell, 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.

Sean is registered as a RR (Registered Representative) and started their career in finance in 1991. Sean has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sean Patrick Farrell | Sean Patrick J Farrell | Sean Patrick Farrell | Seanpatrick Farrell | Farrell

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 Sean Farrell'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

August 27, 2024 - 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

January 23, 2025 - Present

LIQUIDNET, INC.

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

CRD#: 103987

NEW YORK, NY

Past

September 28, 2021 - July 6, 2023

WINTERFLOOD SECURITIES US CORPORATION

CRD#: 299110

NEW YORK, NY

Past

September 20, 2019 - January 7, 2021

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

NEW YORK, NY

Past

May 9, 2016 - April 9, 2019

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

May 3, 2011 - April 19, 2016

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

June 10, 2009 - April 21, 2011

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

NEW YORK, NY

Past

January 8, 2001 - October 17, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 29, 1991 - October 5, 2000

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

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

State Security Law Exam

Series 63

Date: 2/22/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 6/17/2025

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/27/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/2/2014

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

LIQUIDNET, INC.

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

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

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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.

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Advisor Monitoring

Firm Stability Insights

Sean Farrell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Farrell's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIQUIDNET, INC.

WINTERFLOOD SECURITIES US CORPORATION

NORTHERN TRUST SECURITIES, INC.

HSBC SECURITIES (USA) INC.

SG AMERICAS SECURITIES, LLC

CANACCORD GENUITY SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

PERSHING LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/22/2010

Series 57TO

Date: 6/17/2025

SIE

Date: 10/1/2018

Series 7

Date: 11/27/1991

Series 24

Date: 6/2/2014

FINRA

Nasdaq PHLX LLC

Nasdaq Stock Market

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

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