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Douglas Smith

TP Icap Global Markets Americas LLC

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About Douglas Smith

Douglas Smith is a financial professional with over 18 years of experience in the securities industry. Currently, Douglas is a registered representative with TP Icap Global Markets Americas LLC in New York, NY. Douglas has held previous roles with firms including WallachBeth Capital LLC, Cantor Fitzgerald & Co., Susquehanna Financial Group, LLLP, Citigroup Global Markets Inc., Barclays Capital Inc., Lehman Brothers Inc., Deutsche Bank Securities Inc. and Salomon Smith Barney Inc. Douglas holds Series 7, 55, 57TO and SIE licenses.

Firm Information

Douglas Smith 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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Douglas Smith’s Registration & Firm History

NY

03/21/2023 - Present

TP Icap Global Markets Americas LLC (New York NY)

NJ

06/07/2021 - 03/15/2022

WALLACHBETH CAPITAL LLC (JERSEY CITY NJ)

NY

01/02/2020 - 04/20/2021

CANTOR FITZGERALD & CO. (NEW YORK NY)

NY

05/21/2015 - 09/16/2019

SUSQUEHANNA FINANCIAL GROUP, LLLP (NEW YORK NY)

NY

09/26/2011 - 05/29/2015

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

09/22/2008 - 07/11/2011

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

07/17/2008 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

07/11/2007 - 07/15/2008

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

01/27/1999 - 04/02/2003

SALOMON SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/26/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/24/2008

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 07/10/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

Disclosures

There are 2 public disclosures for Douglas Smith. Review regulatory record here.
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