Nicolas Lopez-muniz
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.
Nicolas Lopez-muniz, who also goes by Nicholas Lopez Muniz, Nicolas Copez Muniz, Nicolas Lopez Muniz, was a registered financial professional .
Nicolas is a previously registered financial professional and started their career in finance in 1996. Nicolas had worked at 3 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2023 - January 4, 2024
TP ICAP GLOBAL MARKETS AMERICAS LLC
April 26, 2004 - June 30, 2023
TULLETT PREBON FINANCIAL SERVICES LLC
November 16, 2000 - February 23, 2004
GARBAN CAPITAL MARKETS LLC
September 26, 1996 - November 15, 2000
TP ICAP GLOBAL MARKETS AMERICAS LLC
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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