Ronald W. Spottz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ronald William Spottz SR, who also goes by Spotty Spottz, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1987. Ronald had worked at 4 firms and has passed the Series 63, Series 72 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2023 - July 14, 2025
TP ICAP GLOBAL MARKETS AMERICAS LLC
February 19, 2002 - June 30, 2023
ICAP SECURITIES USA LLC
January 11, 1996 - January 25, 2002
ICAP SECURITIES USA LLC
August 3, 1994 - December 16, 1995
GARBAN INTERNATIONAL LIMITED
August 25, 1989 - July 27, 1994
ICAP SECURITIES USA LLC
July 25, 1987 - October 13, 1989
FUNDAMENTAL BROKERS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
