Rene A. Bustamante

MACKAY SHIELDS LLC

NEW YORK, NY 10171

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CRD#: 4706409

Professional summary

Rene Arturo Bustamante, who also goes by Art Bustamante, is a registered financial advisor currently at MACKAY SHIELDS LLC located in New York, New York and NYLIFE DISTRIBUTORS LLC located in Princeton, New Jersey.

Rene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Rene has worked at 4 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Art Bustamante

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.

A-S Medication Solutions; 2401 Commerce Drive Libertyville, IL 60048; not investment related; Cybersecurity Advisory Board Member; 2 hours per quarter not during normal business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rene Arturo Bustamante's CRS (Customer Relationship Summary).

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

February 7, 2006 - Present

MACKAY SHIELDS LLC

Office #1: 299 Park Avenue 32nd Floor, New York, NY 10171Office #2: 506 Carnegie Center Drive Suite 200, Princeton, NJ 08540

RIA

CRD#: 107717

NEW YORK, NY

Current

August 9, 2004 - Present

NYLIFE DISTRIBUTORS LLC

Office #1: 506 Carnegie Center Drive Suite 200, Princeton, NJ 08540

CRD#: 35350

Princeton, NJ

Past

August 9, 2004 - September 28, 2005

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

PARSIPPANY, NJ

Past

September 12, 2003 - May 10, 2004

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MACKAY SHIELDS LLC

CRD#: 107717 / SEC#: 801-5594

RIA

Registered Investment Advisory firm - (4/11/1969 Approved)

Oklahoma

Registered Investment Advisory firm - (3/30/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

New York
(8/9/2004)

IAR

Oklahoma
(2/7/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/12/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/11/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MACKAY SHIELDS LLC

CRD#: 107717 / SEC#: 801-5594

RIA

Registered Investment Advisory firm - (4/11/1969 Approved)

Oklahoma

Registered Investment Advisory firm - (3/30/2006 Terminated)

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Contact information

Main Address

299 Park Avenue 32nd Floor, New York, NY 10171

Mailing Address

Phone number

(212) 758-5400

Established

Firm type

Fiscal year end

# of Employees

201

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MACKAY SHIELDS LLC ADV PART 2A BROCHURE 3.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	377
AUM (Assets Under Management)	$ 151,640,537,359

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2025	Cover Page	Report
10/28/2024	Cover Page	Report
07/28/2023	Cover Page	Report
10/28/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Rene A. Bustamante

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rene Arturo Bustamante's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

HSBC BROKERAGE (USA) INC.

Primary Firm SEC Registration

MACKAY SHIELDS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/12/2004

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/11/2003

FINRA

Current Firm

MACKAY SHIELDS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MACKAY SHIELDS LLC

TRUST BUT VERIFY

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