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CO

Catherine R. Ostenfeld

TP ICAP GLOBAL MARKETS AMERICAS LLC
Edison, NJ 08854
Some features on this profile are disabled
CRD#: 2809852
CO

Professional summary

Catherine Ruth Ostenfeld, who also goes by Catherine R. Grasso, Cathy Grasso, Catherine R Ostenfeld, Catherine R. R Ostenfeld, Cathy Ostenfeld, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in Edison, New Jersey.

Catherine is registered as a RR (Registered Representative) and started their career in finance in 2002. Catherine has worked at 6 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Catherine R. Grasso | Cathy Grasso | Catherine R Ostenfeld | Catherine R. R Ostenfeld | Cathy Ostenfeld

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 Catherine Ruth Ostenfeld'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

October 19, 2021 - Present

TP ICAP GLOBAL MARKETS AMERICAS LLC

Office #1: 333 Thornall Street 10th Fl, Edison, NJ 08854
BD
CRD#: 2762
Edison, NJ
Past

January 9, 2020 - September 23, 2021

LIQUIDITY.IO, LLC

BD
CRD#: 289499
WHITEFISH, MT
Past

November 25, 2013 - May 31, 2019

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SHORT HILLS, NJ
Past

November 25, 2013 - May 31, 2019

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
SHORT HILLS, NJ
Past

June 1, 2009 - November 20, 2013

MORGAN STANLEY

RIA
CRD#: 149777
MORRISTOWN, NJ
Past

June 1, 2009 - November 20, 2013

MORGAN STANLEY

BD
CRD#: 149777
MORRISTOWN, NJ
Past

September 10, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
MORRISTOWN, NJ
Past

September 10, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
MORRISTOWN, NJ
Past

October 31, 2003 - September 16, 2008

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
FLORHAM PARK, NJ
Past

October 28, 2003 - September 16, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
FLORHAM PARK, NJ
Past

June 11, 2003 - October 22, 2003

SII INVESTMENTS, INC.

BD
CRD#: 2225
APPLETON, WI
Past

July 30, 2002 - May 14, 2003

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
BEDMINSTER, NJ
Past

June 25, 2002 - May 14, 2003

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

RR
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

RR
New Jersey
(10/19/2021)
RR
New York
(10/19/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/23/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/24/2017
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/24/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/2/2015
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/14/2015
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market

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
GOULET, STEPHEN PAULSENIOR MANAGING DIRECT/GENERAL COUNSEL/SECRETARY4769810
HALLIGAN, BRIAN JCHIEF COMPLIANCE OFFICER5016364
PEZEU, CHRISTIAN JEAN MICHELPRINCIPAL FINANCIAL OFFICER5661987

Disclosures

Regulatory Event31

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#: 2762Edison, NJ 08854

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