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Raymond C. Fischer

TP ICAP GLOBAL MARKETS AMERICAS LLC
New York, NY 10281-1008
Some features on this profile are disabled
CRD#: 4713308
RF

Professional summary

Raymond Charles Fischer IV, who also goes by Raymond Charles Fischer, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.

Raymond is registered as a RR (Registered Representative) and started their career in finance in 2003. Raymond has worked at 12 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

Raymond Charles Fischer

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 Raymond Charles Fischer IV'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

April 1, 2013 - 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

April 12, 2010 - April 29, 2013

LINKBROKERS DERIVATIVES LLC

BD
CRD#: 123000
NEW YORK, NY
Past

June 15, 2009 - March 19, 2010

FIRST BROKERS SECURITIES LLC

BD
CRD#: 27369
JERSEY CITY, NJ
Past

January 6, 2009 - June 18, 2009

LINKBROKERS DERIVATIVES LLC

BD
CRD#: 123000
JERSEY CITY, NJ
Past

June 29, 2007 - January 8, 2009

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

September 26, 2005 - June 8, 2006

HYY FORBES, LLC

BD
CRD#: 123923
NEW YORK, NY
Past

September 26, 2005 - June 19, 2007

RAYMOND C. FORBES & CO., INC.

BD
CRD#: 33090
NEW YORK, NY
Past

July 1, 2005 - October 7, 2005

FIMAT PREFERRED LLC

BD
CRD#: 135680
SAN FRANCISCO, CA
Past

April 28, 2005 - July 1, 2005

PREFERREDTRADE, INC.

BD
CRD#: 10993
SAN FRANCISCO, CA
Past

May 12, 2004 - July 29, 2004

LABRANCHE FINANCIAL SERVICES, LLC

BD
CRD#: 7432
NEW YORK, NY
Past

April 30, 2004 - April 28, 2005

AMERIVEST PARTNERS, LLC

BD
CRD#: 46815
NEW YORK, NY
Past

February 18, 2004 - May 17, 2004

LEK SECURITIES CORPORATION

BD
CRD#: 33135
NEW CITY, NY
Past

September 24, 2003 - April 22, 2004

LL PARTNERS, INC.

BD
CRD#: 32189
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 Jersey
(4/1/2013)
RR
New York
(4/1/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 2/14/2004
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: 2/26/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/2/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/13/2011
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#: 2762New York, NY 10281-1008

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