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Richard M. Festa

TP ICAP GLOBAL MARKETS AMERICAS LLC
New York, NY 10281-1008
Some features on this profile are disabled
CRD#: 2095094
RF

Professional summary

Richard M Festa, who also goes by Richard M Festa, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1990. Richard has worked at 7 firms and has passed the Series 63, Series 72 and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard M Festa

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 Richard M Festa'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 17, 2025 - 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
Past

October 8, 2018 - June 13, 2025

TJM INVESTMENTS, LLC

BD
CRD#: 46300
New York, NY
Past

August 27, 2014 - September 28, 2018

DINOSAUR FINANCIAL GROUP, L.L.C

BD
CRD#: 104446
NEW YORK, NY
Past

August 17, 2009 - August 20, 2014

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

August 22, 2008 - September 15, 2009

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

August 2, 1996 - October 9, 2008

TULLETT LIBERTY BROKERAGE INC.

BD
CRD#: 19717
NEW YORK, NY
Past

September 11, 1990 - August 6, 1996

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY

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
(6/17/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/19/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/28/2018
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TI
TP ICAP GLOBAL MARKETS AMERICAS LLC
GARBAN CORPORATES GP | TP ICAP GLOBAL MARKETS AMERICAS LLC | MKI SECURITIES CORP. | ICAP CORPORATES LLC | GARBAN CORPORATES, INC. | GARBAN CORPORATES LLC

CRD#: 2762 / SEC#: , 8-12726

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

Main Address
200 Vesey Street 6th Floor, New York, NY 10285
Mailing Address
200 Vesey Street 6th Floor, New York, NY 10285
Phone number
(201) 984-6889
Established
Delaware since 06/30/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (35 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 INC.SOLE MEMBER
BERNARDO, SHAWN FRANCISCEO2513376
GOULET, STEPHEN PAULSENIOR MANAGING DIRECT/GENERAL COUNSEL/SECRETARY4769810
HALLIGAN, BRIAN JCHIEF COMPLIANCE OFFICER5016364
PEZEU, CHRISTIAN JEAN MICHELPRINCIPAL FINANCIAL OFFICER5661987

Disclosures

Regulatory Event31

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

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762New York, NY 10281-1008

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