Vincent J. Connors
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.
Vincent James Connors, who also goes by VIncent James Connords, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1993. Vincent had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2017 - January 20, 2021
TP ICAP GLOBAL MARKETS AMERICAS LLC
January 3, 2011 - April 17, 2017
TULLETT PREBON FINANCIAL SERVICES LLC
August 1, 2000 - January 18, 2011
NEWEDGE USA, LLC
November 30, 1999 - August 1, 2000
COWEN AND COMPANY
July 13, 1998 - August 11, 1998
INTERCAPITAL INTERNATIONAL INC.
November 12, 1997 - July 13, 1998
EXCO RMJ INTERNATIONAL INC.
May 13, 1994 - August 11, 1998
INTERCAPITAL GOVERNMENT SECURITIES INC.
September 30, 1993 - June 6, 1994
INDEPENDENT FINANCIAL SECURITIES, INC.
May 25, 1993 - October 1, 1993
MARKETING ONE SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
Red Flags
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