Robert J. Fasullo
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.
Robert Joseph Fasullo was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1998. Robert had worked at 3 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2014 - January 4, 2021
ICAP SECURITIES USA LLC
November 3, 2004 - January 5, 2021
TP ICAP GLOBAL MARKETS AMERICAS LLC
May 14, 1998 - December 31, 2004
GARBAN CAPITAL MARKETS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ICAP SECURITIES USA LLC
CRD#: 19739 / SEC#: , 8-37947
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICAP GLOBAL BROKING INC. | SOLE MEMBER | |
| BERNARDO, SHAWN FRANCIS | CEO | 2513376 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GOULET, STEPHEN PAUL | SENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY | 4769810 |
| MURPHY, GREGORY FRANCIS | CHIEF OPERATING OFFICER | 1483320 |
| PEZEU, CHRISTIAN JEAN MICHEL | PRINCIPAL FINANCIAL OFFICER | 5661987 |
Disclosures
| Regulatory Event | 3 |
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.
