Michael L. Frey

TP ICAP GLOBAL MARKETS AMERICAS LLC

New York, NY 10281-1008

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CRD#: 727651

Professional summary

Michael Lawrence Frey, who also goes by Mike Frey, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1981. Michael has worked at 10 firms and has passed the Series 52TO, SIE, Series 7, Series 6 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Frey

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 Michael Lawrence Frey'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: 200 Vesey Street 5th Fl And 6th Fl, New York, NY, 10281-1008

CRD#: 2762

New York, NY

Past

June 1, 2012 - June 30, 2023

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

BOCA RATON, FL

Past

August 16, 2007 - June 1, 2012

CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017

BOCA RATON, FL

Past

June 17, 2002 - August 15, 2007

MUNICIPAL PARTNERS, LLC

CRD#: 119992

BOCA RATON, FL

Past

November 22, 2000 - August 12, 2002

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

July 24, 2000 - August 8, 2002

MINT BROKERS

CRD#: 13681

NEW YORK, NY

Past

June 29, 1993 - July 24, 2000

MUNICIPAL PARTNERS INC.

CRD#: 24513

NEW YORK, NY

Past

May 14, 1988 - August 16, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

June 24, 1986 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

April 10, 1981 - January 5, 1984

BNY MELLON SECURITIES CORPORATION

CRD#: 231

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

Florida
(6/30/2023)

Exams

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/8/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/21/1993

Municipal Securities Principal 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

Michael L. Frey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Lawrence Frey's CRS (Customer Relationship Summary).

Certified licenses

Experience

TULLETT PREBON FINANCIAL SERVICES LLC

CHAPDELAINE TULLETT PREBON, LLC

MUNICIPAL PARTNERS, LLC

CANTOR FITZGERALD & CO.

MINT BROKERS

MUNICIPAL PARTNERS INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

BNY MELLON SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/21/1986

Series 6

Date: 4/8/1981

Series 53

Date: 12/21/1993

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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