Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ronald? Claim Your ProfileRonald William Spottz is an experienced financial professional with over 30 years of experience in the securities industry. Ronald is currently registered with TP Icap Global Markets Americas LLC in New York, New York. Ronald previously worked at ICAP SECURITIES USA LLC, GARBAN LLC, GARBAN INTERNATIONAL LIMITED, GARBAN LIMITED, and FUNDAMENTAL BROKERS INC. Ronald holds the Series 63, Series 72, and SIE licenses.
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.
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.
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2
NY
06/30/2023 - Present
TP Icap Global Markets Americas LLC (New York NY)
FL
02/19/2002 - 06/30/2023
ICAP SECURITIES USA LLC (Boca Raton FL)
NY
01/11/1996 - 01/25/2002
GARBAN LLC (NEW YORK NY)
NY
08/03/1994 - 12/16/1995
GARBAN INTERNATIONAL LIMITED (NEW YORK NY)
NY
08/25/1989 - 07/27/1994
GARBAN LIMITED (NEW YORK NY)
NA
07/25/1987 - 10/13/1989
FUNDAMENTAL BROKERS INC.
BC
Issued 09/12/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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