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SP

Stephen Perillo

LPS CAPITAL LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 2416715
SP

Professional summary

Stephen Perillo is a registered financial professional currently at LPS CAPITAL LLC located in New York, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 7 firms and has passed the SIE and Series 7 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) - BD

Click below to view Stephen Perillo'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

November 8, 2016 - Present

LPS CAPITAL LLC

Office #1: 600 Lexington Avenue Suite 502, New York, NY 10022
BD
CRD#: 155246
NEW YORK, NY
Past

August 1, 2003 - August 11, 2016

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
JERSEY CITY, NJ
Past

February 15, 2002 - August 11, 2016

ICAP SECURITIES USA LLC

BD
CRD#: 19739
JERSEY CITY, NJ
Past

September 20, 2000 - December 7, 2000

INTERCAPITAL INTERNATIONAL INC.

BD
CRD#: 22109
NEW YORK, NY
Past

July 25, 2000 - September 20, 2000

INTERCAPITAL INTERNATIONAL INC.

BD
CRD#: 22109
NEW YORK, NY
Past

April 5, 2000 - July 4, 2000

INTERCAPITAL INTERNATIONAL INC.

BD
CRD#: 22109
NEW YORK, NY
Past

April 5, 2000 - January 25, 2002

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY
Past

April 5, 2000 - August 1, 2003

INTERCAPITAL SECURITIES LLC

BD
CRD#: 20004
JERSEY CITY, NJ
Past

May 27, 1999 - May 27, 1999

TULLETT LIBERTY BROKERAGE INC.

BD
CRD#: 19717
JERSEY CITY, NJ
Past

May 27, 1999 - April 4, 2000

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

October 22, 1993 - May 3, 1999

INTERCAPITAL SECURITIES LLC

BD
CRD#: 20004
JERSEY CITY, NJ
Past

October 22, 1993 - May 3, 1999

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/31/1995
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LPS CAPITAL LLC
DISCOUNT MUNICIPAL BOND CORP. | TORREY PINES WEALTH MANAGEMENT, INC. | LPS PARTNERS INC. | LPS CAPITAL LLC

CRD#: 155246 / SEC#: , 8-68706

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

Main Address
600 Lexington Avenue Suite 502, New York, NY 10022
Mailing Address
600 Lexinggton Avenue Suite 502, New York, NY 10022
Phone number
(212) 441-3810
Established
California since 05/18/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LPS PARTNERS LLCOWNER
MEENAN, MICHAEL JSUPERVISING PRINCIPAL5368683
TARLETON, JOHN WILLIAMPRESIDENT, CCO, FINOP1631047

Disclosures

Regulatory Event1

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

LPS CAPITAL LLC

CRD#: 155246New York, NY 10022

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