Ellen D. Kiernan
Professional summary
Ellen Diane Kiernan, who also goes by Ellen Diane Kiernan, Ellen D Sarosy, Ellen Diane Sarosy, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in Norwalk, Connecticut.
Ellen is registered as a RR (Registered Representative) and started their career in finance in 2007. Ellen has worked at 3 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ellen Diane Kiernan's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 9, 2025 - Present
TP ICAP GLOBAL MARKETS AMERICAS LLC
Office #1: 20 Marshall Street, Suite 200, Norwalk, CT 06854April 13, 2009 - June 6, 2025
CAMBRIDGE INTERNATIONAL SECURITIES, LLC
January 12, 2007 - April 6, 2009
NATWEST MARKETS SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
(6/9/2025)
(6/9/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
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