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David William Ormsby

TP Icap Global Markets Americas LLC

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About David William Ormsby

David William Ormsby is a financial professional with over 30 years of experience in the industry. David has a broad range of experience with many firms, most recently with TP Icap Global Markets Americas LLC. David has held Series 3, 4, 7, 55, 57TO, and SIE licenses. David is registered in 11 states, including California, Delaware, Florida, Georgia, Illinois, Massachusetts, New Jersey, New York, Pennsylvania, Virginia, and Washington.

Firm Information

David Ormsby is currently registered with TP Icap Global Markets Americas LLC. TP Icap Global Markets Americas LLC is a Limited Liability Company formed in June 1998. It is registered in 35 states and has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

119

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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David Ormsby’s Registration & Firm History

NY

06/30/2023 - Present

TP Icap Global Markets Americas LLC (New York NY)

NY

10/05/2009 - 06/30/2023

TULLETT PREBON FINANCIAL SERVICES LLC (New York NY)

NJ

03/15/2004 - 01/06/2010

PREBON FINANCIAL PRODUCTS INC. (JERSEY CITY NJ)

NY

06/29/1998 - 04/02/2003

UBS WARBURG LLC (NEW YORK NY)

CT

09/02/1997 - 06/29/1998

SBC WARBURG DILLON READ INC. (STAMFORD CT)

NY

06/03/1996 - 09/02/1997

SBC WARBURG, INC. (NEW YORK NY)

NY

09/22/1994 - 06/03/1996

S.G. WARBURG & CO. INC. (NEW YORK NY)

NY

05/07/1992 - 10/12/1994

BHF SECURITIES CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/09/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/28/1993

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/12/2014

Series 3 - National Commodity Futures Examination

BC

Issued 10/11/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 05/06/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for David William Ormsby.
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