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FI

Frank J. Imundi

LIQUIDNET
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 4327690
FI

Professional summary

Frank Joseph Imundi, who also goes by Frank Joseph Imundi, is a registered financial professional currently at LIQUIDNET, INC. located in New York, New York and TP ICAP GLOBAL MARKETS AMERICAS LLC located in Boca Raton, Florida.

Frank is registered as a RR (Registered Representative) and started their career in finance in 2005. Frank has worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 30 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Frank Joseph Imundi

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 Frank Joseph Imundi'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

August 5, 2021 - Present

LIQUIDNET, INC.

Office #1: 200 Vesey Street 5th Floor, New York, NY 10281
BD
CRD#: 103987
NEW YORK, NY
Current

September 15, 2021 - Present

TP ICAP GLOBAL MARKETS AMERICAS LLC

Office #1: Fl-2424 No. Federal Highway, Boca Raton, FL 33431Office #2: 2424 No. Federal Highway Stes 307 & 315, Boca Raton, FL 33431
BD
CRD#: 2762
Boca Raton, FL
Past

May 8, 2019 - June 30, 2023

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
BOCA RATON, FL
Past

January 30, 2017 - June 15, 2017

SAGETRADER, LLC

BD
CRD#: 137862
NEW YORK, NY
Past

May 16, 2012 - March 18, 2015

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

May 3, 2005 - February 15, 2012

NEWEDGE USA, LLC

BD
CRD#: 36118
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
Connecticut
(8/5/2021)
RR
Florida
(9/15/2021)
RR
Massachusetts
(6/30/2023)
RR
New Jersey
(9/15/2021)
RR
New York
(8/5/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 8/23/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/15/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/23/2005
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/2/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 7/11/2025
NFA Branch Manager Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/18/2024
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
HALLIGAN, BRIAN JCHIEF COMPLIANCE OFFICER5016364
PEZEU, CHRISTIAN JEAN MICHELPRINCIPAL FINANCIAL OFFICER5661987

Disclosures

Regulatory Event32

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#: 2762New York, NY 10281

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