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Kenneth W. Osier

TP ICAP GLOBAL MARKETS AMERICAS LLC
New York, NY 10281-1008
Some features on this profile are disabled
CRD#: 4534812
KO

Professional summary

Kenneth William Osier III, who also goes by Kenneth William Osier III, Kenneth William Osier, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2002. Kenneth has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 25 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kenneth William Osier Iii | Kenneth William Osier

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 Kenneth William Osier III'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 19, 2025 - Present

TP ICAP GLOBAL MARKETS AMERICAS LLC

Office #1: 200 Vesey Street 5th Fl And 6th Fl, New York, NY, 10281-1008
BD
CRD#: 2762
New York, NY
Past

January 31, 2023 - February 12, 2025

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW YORK, NY
Past

January 5, 2021 - May 9, 2022

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

May 24, 2018 - October 26, 2020

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

August 4, 2015 - March 19, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 20, 2015 - June 15, 2015

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
New York, NY
Past

April 29, 2014 - April 20, 2015

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEW YORK, NY
Past

May 11, 2010 - August 24, 2012

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

October 1, 2008 - May 13, 2010

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 24, 2007 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

May 8, 2002 - February 27, 2007

ADVANCED EQUITIES SERVICES CORP.

BD
CRD#: 104377
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
New York
(5/19/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/4/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/19/2011
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/8/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 25
Date: 11/10/2005
NYSE Trading Assistant 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#: 2762New York, NY 10281-1008

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