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Nicholas John Stephan

TP Icap Global Markets Americas LLC

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About Nicholas John Stephan

Nicholas Stephan is an active advisor in the securities industry, with over 20 years of experience. Nicholas currently works at TP Icap Global Markets Americas LLC. Prior to joining TP Icap Global Markets Americas LLC, Nicholas worked at Liquidnet, Inc. and Tullett Prebon Financial Services LLC. Nicholas is registered with the FINRA and in 14 states. Nicholas is a Series 3, 7, 24, 63, SIE, and 99TO licensed individual.

Firm Information

Nicholas Stephan 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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Nicholas Stephan’s Registration & Firm History

NY

11/09/2021 - Present

TP Icap Global Markets Americas LLC (New York NY)

NY

11/09/2021 - 06/30/2023

TULLETT PREBON FINANCIAL SERVICES LLC (NEW YORK NY)

NY

07/03/2013 - 06/26/2020

GFI SECURITIES LLC (NEW YORK NY)

NY

04/25/2012 - 09/27/2013

PPG WEST LLC (NEW YORK NY)

NY

08/05/2005 - 09/24/2013

PHOENIX DERIVATIVES GROUP, LLC (NEW YORK NY)

MA

12/05/2002 - 07/05/2005

AGP DERIVATIVES CORP. (COHASSET MA)

NY

06/19/2002 - 12/03/2002

EURO BROKERS, A DIVISION OF MAXCOR FINANCIAL INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/22/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/17/2003

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/18/2002

Series 7 - General Securities Representative Examination

BC

Issued 08/14/1997

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Nicholas John Stephan.
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