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Paul Wortley

TP Icap Global Markets Americas LLC

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About Paul Wortley

Paul Wortley is a registered representative with TP Icap Global Markets Americas LLC. Paul's career in the securities industry began in 1997. Paul has worked for several firms including TRADITION SECURITIES AND DERIVATIVES INC., TRADITION ASIEL SECURITIES INC., SCHWAB CAPITAL MARKETS L.P., M. H. MEYERSON & CO., INC., INTER-DEALER BROKER LLC and GFI SECURITIES LLC. Paul holds a Series 7, Series 55, Series 63, Series 7TO, and Series 57TO.

Firm Information

Paul Wortley 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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Paul Wortley’s Registration & Firm History

NY

06/25/2024 - Present

TP Icap Global Markets Americas LLC (New York NY)

NY

10/12/2006 - 05/15/2020

TRADITION SECURITIES AND DERIVATIVES INC. (New York NY)

NY

07/22/2003 - 12/10/2004

TRADITION ASIEL SECURITIES INC. (NEW YORK NY)

CT

08/27/1999 - 12/31/2002

SCHWAB CAPITAL MARKETS L.P. (STAMFORD CT)

NJ

05/25/1999 - 09/21/1999

M. H. MEYERSON & CO., INC. (JERSEY CITY NJ)

NY

03/03/1999 - 05/19/1999

INTER-DEALER BROKER LLC (NEW YORK NY)

NY

10/27/1997 - 05/19/1999

GFI SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/11/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/14/2022

Series 7TO - General Securities Representative Examination

BC

Issued 07/14/2022

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/15/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 12/08/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Paul Wortley. Review regulatory record here.
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