Stephen D. Wheeler

TP ICAP GLOBAL MARKETS AMERICAS LLC

New York, NY 10281-1008

Some features on this profile are disabled

CRD#: 4409311

Professional summary

Stephen D Wheeler, who also goes by Stephen D Wheeler, Stephen Daniel Wheeler, Stephen Wheeler, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2001. Stephen has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen D Wheeler | Stephen Daniel Wheeler | Stephen Wheeler

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 Stephen D Wheeler'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

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 12, 2019 - June 30, 2023

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

New York, NY

Past

September 5, 2017 - August 6, 2019

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

November 26, 2012 - September 1, 2017

FGC SECURITIES, LLC

CRD#: 158399

NEW YORK, NY

Past

February 24, 2012 - January 4, 2013

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758

NEW YORK, NY

Past

September 16, 2010 - February 17, 2012

COHEN & COMPANY CAPITAL MARKETS, LLC

CRD#: 144981

NEW YORK, NY

Past

April 19, 2010 - March 9, 2011

COHEN & COMPANY SECURITIES, LLC

CRD#: 104002

NEW YORK, NY

Past

March 2, 2009 - October 13, 2009

PHOENIX DERIVATIVES GROUP, LLC

CRD#: 25802

NEW YORK, NY

Past

April 8, 2008 - June 24, 2008

BROOKVILLE CAPITAL PARTNERS

CRD#: 102380

MELVILLE, NY

Past

August 6, 2004 - April 24, 2006

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

June 6, 2001 - October 5, 2001

THE GRISWOLD COMPANY, INCORPORATED

CRD#: 32944

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: 2/17/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/6/2016

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 12/14/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/5/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/2/2011

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/3/2010

Registered Options Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

TP ICAP GLOBAL MARKETS AMERICAS LLC

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

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen D. Wheeler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen D Wheeler's CRS (Customer Relationship Summary).

Certified licenses

Experience

TULLETT PREBON FINANCIAL SERVICES LLC

BGC FINANCIAL, L.P.

FGC SECURITIES, LLC

COHEN & COMPANY SECURITIES, LLC

COHEN & COMPANY CAPITAL MARKETS, LLC

COHEN & COMPANY SECURITIES, LLC

PHOENIX DERIVATIVES GROUP, LLC

BROOKVILLE CAPITAL PARTNERS

DEUTSCHE BANK SECURITIES INC.

THE GRISWOLD COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 2/17/2005

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 5/6/2016

Series 55

Date: 12/14/2005

Series 7

Date: 8/5/2004

Series 24

Date: 2/2/2011

Series 4

Date: 8/3/2010

FINRA

Nasdaq PHLX LLC

Nasdaq Stock Market

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

Similar Advisors