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DS

David S. Shapiro

TP ICAP GLOBAL MARKETS AMERICAS LLC
Huntington, NY 11743
Some features on this profile are disabled
CRD#: 3102178
DS

Professional summary

David Scott Shapiro is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in Huntington, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1998. David has worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 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 David Scott Shapiro'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

May 5, 2015 - Present

TP ICAP GLOBAL MARKETS AMERICAS LLC

Office #1: 41 Green Street First Floor, Huntington, NY 11743
BD
CRD#: 2762
Huntington, NY
Past

July 7, 2015 - June 30, 2023

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY
Past

August 2, 2012 - October 31, 2014

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

July 23, 2001 - May 15, 2012

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

November 30, 1999 - October 19, 2000

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

October 15, 1998 - December 7, 1999

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

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
California
(10/12/2017)
RR
Connecticut
(10/12/2017)
RR
Florida
(10/12/2017)
RR
Illinois
(10/12/2017)
RR
Michigan
(10/12/2017)
RR
Minnesota
(10/12/2017)
RR
New Jersey
(5/5/2015)
RR
New York
(5/5/2015)
RR
Pennsylvania
(10/12/2017)
RR
Texas
(10/12/2017)
RR
Vermont
(10/12/2017)
RR
Washington
(10/12/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 5/7/1999
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 3
Date: 3/7/2000
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/8/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/11/2014
General Securities Principal 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#: 2762Huntington, NY 11743

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