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FM

Fash Molai

TP ICAP GLOBAL MARKETS AMERICAS LLC
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 4868219
FM

Professional summary

Fash Molai, who also goes by Farshad Molai-tafreshi, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in Boca Raton, Florida.

Fash is registered as a RR (Registered Representative) and started their career in finance in 2004. Fash has worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 57, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Farshad Molai-Tafreshi

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 Fash Molai'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: 2424 No. Federal Highway Stes 307 & 315, Boca Raton, FL 33431
BD
CRD#: 2762
Boca Raton, FL
Past

September 19, 2016 - June 30, 2023

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
BOCA RATON, FL
Past

November 26, 2012 - August 11, 2016

FGC SECURITIES, LLC

BD
CRD#: 158399
NEW YORK, NY
Past

February 24, 2012 - January 4, 2013

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
NEW YORK, NY
Past

March 9, 2011 - February 17, 2012

COHEN & COMPANY CAPITAL MARKETS, LLC

BD
CRD#: 144981
NEW YORK, NY
Past

August 5, 2010 - March 9, 2011

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 104002
NEW YORK, NY
Past

November 19, 2007 - November 17, 2009

PREBON FINANCIAL PRODUCTS INC.

BD
CRD#: 29551
JERSEY CITY, NJ
Past

August 10, 2007 - August 15, 2007

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

November 10, 2006 - August 10, 2007

COLLINS STEWART INC.

BD
CRD#: 47414
NEW YORK, NY
Past

November 7, 2005 - December 5, 2006

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

October 28, 2004 - July 25, 2005

NEWEDGE USA, LLC

BD
CRD#: 36118
CHICAGO, IL

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
Florida
(6/30/2023)
RR
New Jersey
(6/30/2023)
RR
New York
(6/30/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/7/2005
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: 6/1/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 57
Date: 8/4/2017
Securities Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/25/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/19/2021
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#: 2762Boca Raton, FL 33431

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