Lucas M. Fitzgerald

LIQUIDNET

NEW YORK, NY 10281

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CRD#: 7466778

Professional summary

Lucas M Fitzgerald, who also goes by Lucas Fitzgerald, is a registered financial professional currently at LIQUIDNET, INC. located in New York, New York and TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.

Lucas is registered as a RR (Registered Representative) and started their career in finance in 2022. Lucas has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lucas Fitzgerald

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 Lucas M Fitzgerald'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

January 7, 2022 - Present

LIQUIDNET, INC.

Office #1: 200 Vesey Street 5th Floor, New York, NY 10281Office #2: 200 Vesey Street 5th Floor, New York, NY 10281

CRD#: 103987

NEW YORK, NY

Current

May 15, 2024 - 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

April 4, 2022 - June 30, 2023

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

NEW YORK, NY

Past

April 4, 2022 - August 25, 2023

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762

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

Arizona
(2/11/2022)

California
(2/11/2022)

Colorado
(1/7/2022)

Connecticut
(2/11/2022)

Delaware
(2/11/2022)

Illinois
(2/11/2022)

Massachusetts
(2/11/2022)

Michigan
(2/11/2022)

New York
(2/11/2022)

Ohio
(2/14/2022)

Oregon
(2/11/2022)

Pennsylvania
(2/11/2022)

South Carolina
(2/11/2022)

Texas
(2/11/2022)

Exams

State Security Law Exam

Series 63

Date: 2/11/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/7/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/30/2021

Securities Industry Essentials 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

Lucas M. Fitzgerald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lucas M Fitzgerald's CRS (Customer Relationship Summary).

Certified licenses

Experience

TP ICAP GLOBAL MARKETS AMERICAS LLC

TULLETT PREBON FINANCIAL SERVICES LLC

TP ICAP GLOBAL MARKETS AMERICAS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/11/2022

Series 7TO

Date: 1/7/2022

SIE

Date: 11/30/2021

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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