Ron Artzi
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.
Ron Artzi, who also goes by Ronald Samuel Artzi, Ronald Artzi, was a registered financial professional .
Ron is a previously registered financial professional and started their career in finance in 1992. Ron had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2019 - August 12, 2024
BOFA SECURITIES, INC.
June 14, 2017 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 2017 - August 14, 2023
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
March 10, 2016 - June 12, 2017
GOLDMAN SACHS & CO. LLC
April 9, 2007 - December 15, 2016
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 13, 1999 - April 2, 2007
PERSHING LLC
January 13, 1995 - April 7, 1999
TD AMERITRADE, INC.
June 22, 1994 - August 5, 1994
NF CLEARING, INC.
June 15, 1992 - April 20, 1993
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 8
Date: 8/26/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NB HOLDINGS CORPORATION | SOLE STOCKHOLDER | |
| BHATIA, KASHYAP P | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 6110368 |
| CHEPUCAVAGE, LAURA P | DIRECTOR, STATE DESIGNATED PRINCIPAL | 4672504 |
| GADKARI, SARANG RAJAN | DIRECTOR | 2522409 |
| MCQUEEN, MATTHEW C | DIRECTOR | 4204052 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| RAE, GLEN ALEXANDER | CHIEF LEGAL OFFICER | 6300829 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| STAGG, JENNIFER C | CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER | 2597167 |
| ZUBERI, SOOFIAN J J | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2372292 |
Disclosures
| Regulatory Event | 69 |
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.
