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Stephen Leslie Banks

TP Icap Global Markets Americas LLC

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About Stephen Leslie Banks

Stephen Leslie Banks is a financial advisor currently associated with TP Icap Global Markets Americas LLC, located in New York, NY. Stephen Banks is a registered representative and investment advisor. Stephen Banks has been in the securities industry since December 11, 1992 and is a Series 63, Series 7, and SIE license holder. Stephen Leslie Banks is also licensed to provide financial advice in New Jersey and New York. Before joining TP Icap Global Markets Americas LLC, Stephen Leslie Banks was previously registered with Tullett Prebon Financial Services LLC, ICAP Securities USA LLC, Garban LLC, Liberty Brokerage Inc., and Hilliard Farber & Co., Inc.

Firm Information

Stephen Banks 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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Stephen Banks’s Registration & Firm History

NY

06/30/2023 - Present

TP Icap Global Markets Americas LLC (New York NY)

NY

07/07/2015 - 06/30/2023

TULLETT PREBON FINANCIAL SERVICES LLC (New York NY)

NJ

01/31/2002 - 07/10/2015

ICAP SECURITIES USA LLC (JERSEY CITY NJ)

NY

03/01/1999 - 01/25/2002

GARBAN LLC (NEW YORK NY)

NJ

09/26/1996 - 03/02/1999

LIBERTY BROKERAGE INC. (JERSEY CITY NJ)

NJ

08/19/1992 - 06/07/1996

HILLIARD FARBER & CO., INC. (JERSEY CITY NJ)

NY

08/19/1992 - 06/07/1996

HILLIARD FARBER SECURITIES CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/25/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/09/1998

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 Stephen Leslie Banks.
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