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AB

Arthur O. Bances

BROKERTEC AMERICAS LLC
New York, NY 10282
Some features on this profile are disabled
CRD#: 1934775
AB

Professional summary

Arthur Oscar Bances is a registered financial professional currently at BROKERTEC AMERICAS LLC located in New York, New York.

Arthur is registered as a RR (Registered Representative) and started their career in finance in 1989. Arthur has worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Arthur Oscar Bances's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 20, 2020 - Present

BROKERTEC AMERICAS LLC

Office #1: 300 Vesey Street 7th Floor, New York, NY 10282
BD
CRD#: 47477
New York, NY
Past

December 12, 2013 - February 25, 2019

BBVA SECURITIES INC.

BD
CRD#: 27060
NEW YORK, NY
Past

April 8, 2004 - December 3, 2013

PORTIGON SECURITIES INC.

BD
CRD#: 10050
NEW YORK, NY
Past

September 21, 1990 - June 19, 2003

COMMERZBANK CAPITAL MARKETS CORP.

BD
CRD#: 21787
NEW YORK, NY
Past

April 25, 1989 - August 15, 1990

NATIXIS SECURITIES AMERICAS LLC

BD
CRD#: 1101
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(7/20/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 6/26/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/6/1992
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BA
BROKERTEC AMERICAS LLC
BROKERTEC AMERICAS LLC | ICAP ELECTRONIC BROKING LLC | BROKERTEC USA, L.L.C.

CRD#: 47477 / SEC#: , 8-51803

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
300 Vesey Street 7th Floor, New York, NY 10282
Mailing Address
300 Vesey Street 7th Floor, New York, NY 10282
Phone number
(800) 438-8616
Established
Delaware since 04/23/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BROKERTEC HOLDINGS INC.100% OWNERSHIP
CALDERON, DAVID JASONCHIEF FINANCIAL OFFICER4575354
DENNIS, MICHAELDIRECTOR4192184
HIRSCHMANN, ELISA MCHIEF COMPLIANCE OFFICER AND DIRECTOR5112554
WAKEFIELD, JONATHAN BISHOPCEO - CHIEF EXECUTIVE OFFICER AND DIRECTOR1676639
WEINMAN, ANDREW LEONARDCHIEF OPERATIONS OFFICER AND DIRECTOR5209879

Disclosures

Regulatory Event1

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.

Company Information

BROKERTEC AMERICAS LLC

CRD#: 47477New York, NY 10282

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