linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Catherine Ruth Ostenfeld

TP Icap Global Markets Americas LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Catherine? Claim Your Profile

About Catherine Ruth Ostenfeld

Catherine Ostenfeld is a registered representative with TP Icap Global Markets Americas LLC. Catherine has been in the financial services industry since 2003. Catherine has held previous roles at UBS Financial Services Inc., Morgan Stanley, Citigroup Global Markets Inc., and SII Investments, Inc. Catherine holds Series 3, 7, 9, 10, 66, and SIE licenses. Catherine is currently registered in New Jersey and New York.

Firm Information

Catherine Ostenfeld is currently registered with TP Icap Global Markets Americas LLC. TP Icap Global Markets Americas LLC is a Limited Liability Company formed in June 1998. It is registered in 35 states and has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

119

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Catherine Ostenfeld’s Registration & Firm History

NJ

10/19/2021 - Present

TP Icap Global Markets Americas LLC (EDISON NJ)

MT

01/09/2020 - 09/23/2021

ARQ ADVISORS LLC (WHITEFISH MT)

NJ

11/25/2013 - 05/31/2019

UBS FINANCIAL SERVICES INC. (SHORT HILLS NJ)

NJ

06/01/2009 - 11/20/2013

MORGAN STANLEY (MORRISTOWN NJ)

NJ

09/10/2008 - 06/01/2009

CITIGROUP GLOBAL MARKETS INC. (MORRISTOWN NJ)

NJ

10/28/2003 - 09/16/2008

UBS FINANCIAL SERVICES INC. (FLORHAM PARK NJ)

WI

06/11/2003 - 10/22/2003

SII INVESTMENTS, INC. (APPLETON WI)

NJ

06/25/2002 - 05/14/2003

UBS PAINEWEBBER INC. (WEEHAWKEN NJ)

Not sure if Catherine Ruth Ostenfeld is right for you?

Licenses & Designations

BOTH

Issued 07/23/2002

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/02/2015

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 05/14/2015

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/24/2017

Series 3 - National Commodity Futures Examination

BC

Issued 06/24/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Catherine Ruth Ostenfeld.
Not sure if Catherine Ruth Ostenfeld is right for you?