Terrence P. Vaughan

TP ICAP GLOBAL MARKETS AMERICAS LLC

New York, NY 10281-1008

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CRD#: 4782172

Professional summary

Terrence Patrick Vaughan, who also goes by Terry Patrick Vaughan, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.

Terrence is registered as a RR (Registered Representative) and started their career in finance in 2004. Terrence has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 21 and Series 25 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Terry Patrick Vaughan

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 Terrence Patrick Vaughan'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

February 14, 2018 - 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

December 21, 2016 - June 2, 2017

BAY CREST PARTNERS, LLC

CRD#: 39944

NEW YORK, NY

Past

April 1, 2013 - August 24, 2016

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762

JERSEY CITY, NJ

Past

January 12, 2011 - April 29, 2013

LINKBROKERS DERIVATIVES LLC

CRD#: 123000

NEW YORK, NY

Past

March 23, 2010 - August 4, 2010

AMERIVEST PARTNERS, LLC

CRD#: 46815

NEW YORK, NY

Past

March 8, 2010 - January 4, 2011

BAY CREST PARTNERS, LLC

CRD#: 39944

NEW YORK, NY

Past

April 13, 2004 - March 26, 2007

VAN DER MOOLEN SPECIALISTS USA, LLC

CRD#: 32034

NEW YORK, NY

Past

April 1, 2004 - April 12, 2004

G. JOSEPH DIPPELL JR. & COMPANY INC.

CRD#: 36051

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 Jersey
(2/14/2018)

New York
(2/14/2018)

Exams

State Security Law Exam

Series 63

Date: 7/16/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/5/2010

General Securities Representative Examination

General Industry/Product Exam

Series 21

Date: 3/3/2005

NYSE Front Line Specialist Clerk

General Industry/Product Exam

Series 25

Date: 7/27/2004

NYSE Trading Assistant 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)

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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)

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.

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Advisor Monitoring

Firm Stability Insights

Terrence P. Vaughan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Terrence Patrick Vaughan's CRS (Customer Relationship Summary).

Certified licenses

Experience

BAY CREST PARTNERS, LLC

TP ICAP GLOBAL MARKETS AMERICAS LLC

LINKBROKERS DERIVATIVES LLC

AMERIVEST PARTNERS, LLC

BAY CREST PARTNERS, LLC

VAN DER MOOLEN SPECIALISTS USA, LLC

G. JOSEPH DIPPELL JR. & COMPANY INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/16/2012

SIE

Date: 10/1/2018

Series 7

Date: 3/5/2010

Series 21

Date: 3/3/2005

Series 25

Date: 7/27/2004

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

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