James K. Breene

TP ICAP GLOBAL MARKETS AMERICAS LLC

Norwalk, CT 06854

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CRD#: 862743

Professional summary

James Kibbe Breene III, who also goes by Jamer Breene III, James Kibbe Breene III, James Kibbe Breene, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in Norwalk, Connecticut.

James is registered as a RR (Registered Representative) and started their career in finance in 1979. James has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jamer Breene Iii | James Kibbe Breene Iii | James Kibbe Breene

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 James Kibbe Breene III'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 9, 2025 - Present

TP ICAP GLOBAL MARKETS AMERICAS LLC

Office #1: 20 Marshall Street, Suite 200, Norwalk, CT 06854

CRD#: 2762

Norwalk, CT

Past

October 18, 2001 - June 6, 2025

CAMBRIDGE INTERNATIONAL SECURITIES, LLC

CRD#: 39137

WESTPORT, CT

Past

July 1, 1998 - February 20, 2001

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

June 15, 1998 - July 1, 1998

ING BARING (U.S.) SECURITIES, INC.

CRD#: 5285

NEW YORK, NY

Past

May 12, 1997 - July 9, 1998

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 3, 1994 - April 29, 1997

LAZARD FRERES & CO. LLC

CRD#: 2528

NEW YORK, NY

Past

October 17, 1989 - May 13, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 10, 1988 - November 8, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

Past

February 26, 1979 - December 24, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Connecticut
(6/9/2025)

New York
(6/9/2025)

Exams

State Security Law Exam

Series 63

Date: 6/15/1995

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: 2/17/1979

General Securities Representative 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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Firm Stability Insights

James K. Breene

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Kibbe Breene III's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INTERNATIONAL SECURITIES, LLC

ABN AMRO SECURITIES LLC

ING BARING (U.S.) SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

LAZARD FRERES & CO. LLC

UBS FINANCIAL SERVICES INC.

THOMSON MCKINNON SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 6/15/1995

SIE

Date: 10/1/2018

Series 7

Date: 2/17/1979

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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