James A. Conti

TP ICAP GLOBAL MARKETS AMERICAS LLC

New York, NY 10281-1008

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CRD#: 2451719

Professional summary

James A Conti is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 7 firms and has passed the Series 63, Series 57TO, Series 19, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

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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

June 30, 2023 - Present

TP ICAP GLOBAL MARKETS AMERICAS LLC

Office #1: 200 Vesey Street 5th Fl And 6th Fl, New York, NY, 10281-1008

CRD#: 2762

New York, NY

Past

August 3, 2020 - June 30, 2023

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

New York, NY

Past

May 6, 2020 - May 7, 2020

ROBERTS & RYAN, INC.

CRD#: 19456

NEW YORK, NY

Past

June 21, 2017 - May 7, 2018

ANOS CAPITAL, LLC

CRD#: 284714

NEW YORK, NY

Past

March 2, 2015 - June 1, 2017

WILLIAM O'NEIL SECURITIES

CRD#: 894

BOSTON, MA

Past

July 5, 2005 - February 19, 2015

W.A. CAPITAL MARKETS

CRD#: 6292

NEW YORK, NY

Past

June 16, 1994 - June 27, 2005

DUNLEVY & CO., INCORPORATED

CRD#: 7696

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(6/30/2023)

Exams

State Security Law Exam

Series 63

Date: 7/8/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 19

Date: 9/1/2020

NYSE Floor Clerk - Equities Examination

General Industry/Product Exam

SIE

Date: 5/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/25/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/15/1994

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762 / SEC#: , 8-12726

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)

Documents

Direct owners and executive officers

Name	Position	CRD#
ICAP GLOBAL BROKING INC.	SOLE MEMBER
BERNARDO, SHAWN FRANCIS	CEO	2513376
GOULET, STEPHEN PAUL	SENIOR MANAGING DIRECT/GENERAL COUNSEL/SECRETARY	4769810
HALLIGAN, BRIAN J	CHIEF COMPLIANCE OFFICER	5016364
PEZEU, CHRISTIAN JEAN MICHEL	PRINCIPAL FINANCIAL OFFICER	5661987

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Firm Stability Insights

James A. Conti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James A Conti's CRS (Customer Relationship Summary).

Certified licenses

Experience

TULLETT PREBON FINANCIAL SERVICES LLC

ROBERTS & RYAN, INC.

ANOS CAPITAL, LLC

WILLIAM O'NEIL SECURITIES

W.A. CAPITAL MARKETS

DUNLEVY & CO., INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/8/1994

Series 57TO

Date: 1/2/2023

Series 19

Date: 9/1/2020

SIE

Date: 5/7/2018

Series 55

Date: 2/25/2000

Series 7

Date: 6/15/1994

FINRA

NYSE American LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

TP ICAP GLOBAL MARKETS AMERICAS LLC

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TP ICAP GLOBAL MARKETS AMERICAS LLC

TRUST BUT VERIFY

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