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Carmine Provenzano

Some features on this profile are disabled
CRD#: 2289664
CP

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.

Carmine Provenzano was a registered financial professional .

Carmine is a previously registered financial professional and started their career in finance in 1993. Carmine had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

August 16, 2017 - January 15, 2020

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NEW YORK, NY
Past

April 7, 2015 - August 9, 2017

WHITAKER SECURITIES LLC

BD
CRD#: 121465
NEW YORK, NY
Past

June 18, 1999 - March 30, 2015

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
NEW YORK, NY
Past

January 20, 1997 - May 6, 1999

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

August 19, 1996 - December 9, 1996

LIBERTY BROKERS

BD
CRD#: 32391
NEW YORK, NY
Past

August 19, 1996 - December 9, 1996

TULLETT LIBERTY BROKERAGE INC.

BD
CRD#: 19717
JERSEY CITY, NJ
Past

June 5, 1995 - February 12, 1996

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

January 25, 1995 - February 12, 1996

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

June 15, 1994 - October 3, 1994

GARBAN INTERNATIONAL LIMITED

BD
CRD#: 25583
NEW YORK, NY
Past

May 13, 1994 - June 23, 1994

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY
Past

March 4, 1993 - May 26, 1993

LEHWALD, OROSEY & PEPE INCORPORATED

BD
CRD#: 16677
BOCA RATON, FL

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
RR
Series 63
Date: 11/16/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/2/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/7/1992
National Commodity Futures Examination

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#: 2762

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