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JS

Joseph J. Swirbalus

Some features on this profile are disabled
CRD#: 2407733
JS

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.

Joseph John Swirbalus was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1993. Joseph had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 30 exams.

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

June 30, 2023 - February 27, 2026

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NEW YORK, NY
Past

August 24, 2021 - June 30, 2023

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

August 23, 2021 - February 27, 2026

LIQUIDNET, INC.

BD
CRD#: 103987
BOSTON, MA
Past

March 19, 2018 - March 31, 2020

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

March 16, 2018 - March 31, 2020

CANTOR FITZGERALD & CO.

BD
CRD#: 134
BOSTON, MA
Past

October 1, 2008 - August 21, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
BOSTON, MA
Past

January 10, 2001 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
BOSTON, MA
Past

June 28, 1999 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

February 17, 1998 - June 18, 1999

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

November 28, 1997 - February 19, 1998

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 23, 1993 - February 19, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

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: 11/11/1993
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: 11/8/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/27/1993
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 30
Date: 8/30/2005
NFA Branch Manager 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
HALLIGAN, BRIAN JCHIEF COMPLIANCE OFFICER5016364
PEZEU, CHRISTIAN JEAN MICHELPRINCIPAL FINANCIAL OFFICER5661987

Disclosures

Regulatory Event32

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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