Ronald X. Guartatanga Bueno

TP ICAP GLOBAL MARKETS AMERICAS LLC

New York, NY 10285

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CRD#: 5338213

Professional summary

Ronald Xavier Guartatanga Bueno, who also goes by Ronald Xavier Guartatanga, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 2008. Ronald has worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 30 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ronald Xavier Guartatanga

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 Ronald Xavier Guartatanga Bueno'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 16, 2014 - Present

TP ICAP GLOBAL MARKETS AMERICAS LLC

Office #1: 200 Vesey Street 6th Floor, New York, NY 10285

CRD#: 2762

New York, NY

Past

June 24, 2015 - June 30, 2023

ICAP SECURITIES USA LLC

CRD#: 19739

NEW YORK, NY

Past

July 16, 2014 - December 21, 2016

BROKERTEC AMERICAS LLC

CRD#: 47477

NEW YORK, NY

Past

January 4, 2012 - March 21, 2014

NEWEDGE USA, LLC

CRD#: 36118

NEW YORK, NY

Past

September 22, 2008 - November 4, 2011

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

August 26, 2008 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(10/20/2014)

Connecticut
(10/20/2014)

Florida
(10/20/2014)

Illinois
(10/20/2014)

Michigan
(10/20/2014)

Minnesota
(10/20/2014)

New Jersey
(10/20/2014)

New York
(10/20/2014)

Pennsylvania
(10/20/2014)

Texas
(10/20/2014)

Vermont
(10/20/2014)

Washington
(10/20/2014)

Exams

State Security Law Exam

Series 63

Date: 8/29/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/1/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/25/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 10/25/2023

NFA Branch Manager Examination

Principal/Supervisory Exam

Series 24

Date: 10/6/2023

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762 / SEC#: , 8-12726

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

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Contact information

Main Address

200 Vesey Street 6th Floor, New York, NY 10285

Mailing Address

200 Vesey Street 6th Floor, New York, NY 10285

Phone number

(201) 984-6889

Established

Delaware since 06/30/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ICAP GLOBAL BROKING INC.	SOLE MEMBER
BERNARDO, SHAWN FRANCIS	CEO	2513376
GOULET, STEPHEN PAUL	SENIOR MANAGING DIRECT/GENERAL COUNSEL/SECRETARY	4769810
HALLIGAN, BRIAN J	CHIEF COMPLIANCE OFFICER	5016364
PEZEU, CHRISTIAN JEAN MICHEL	PRINCIPAL FINANCIAL OFFICER	5661987

Disclosures

Regulatory Event

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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Firm Stability Insights

Ronald X. Guartatanga Bueno

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald Xavier Guartatanga Bueno's CRS (Customer Relationship Summary).

Certified licenses

Experience

ICAP SECURITIES USA LLC

BROKERTEC AMERICAS LLC

NEWEDGE USA, LLC

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/29/2008

SIE

Date: 10/1/2018

Series 3

Date: 5/1/2009

Series 7

Date: 8/25/2008

Series 30

Date: 10/25/2023

Series 24

Date: 10/6/2023

FINRA

Nasdaq PHLX LLC

Nasdaq Stock Market

Current Firm

TP ICAP GLOBAL MARKETS AMERICAS LLC

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TP ICAP GLOBAL MARKETS AMERICAS LLC

TRUST BUT VERIFY

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