Role at Mackay Shields
- Title on Schedule A
- Chief Administrative Officer, Executive Managing Director
- Control
- Rene Bustamante is a control person of Mackay Shields.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Rene Bustamante has held the filed role since January 2020.
The firm
Career on record
Rene Bustamante has been registered through Mackay Shields since February 2006, and before that through New York Life Investment Management LLC.
- Passed Series 99TO · 2023
- Passed SIE · 2018
- New York Life Investment Management LLC– · 1 yearParsippany, NJ · Adviser representative · Firm CRD 109591
- Passed Series 66 · 2004
- Passed Series 7 · 2003
Registrations and exams
Rene Bustamante has a current investment-adviser registration in Oklahoma and has passed 4 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Oklahoma | Investment adviser representative | Approved | 7 February 2006 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 12 January 2004 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 11 September 2003 |
- Name
- Uniform Combined State Law Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Rene Arturo Bustamante
- CRD
- 4706409
- Registration status
- Investment adviser and broker registrations
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Rene Bustamante work?
Rene Bustamante has been Chief Administrative Officer, Executive Managing Director of Mackay Shields LLC since January 2020, and is a control person of the firm.
Is Rene Bustamante a financial advisor?
Yes. Rene Bustamante has a current investment-adviser registration in Oklahoma, through Mackay Shields since February 2006, as of 18 October 2026.
How many years of experience does Rene Bustamante have?
Rene Bustamante has worked in the financial industry for 22 years as of 18 October 2026, counted from 10 December 2003, across 2 adviser firms.
What exams has Rene Bustamante passed?
Rene Bustamante has passed 4 licensing exams: the Series 7, Series 66, SIE and Series 99TO. The earliest, the Series 7, was passed in September 2003.
Where did Rene Bustamante work before Mackay Shields?
Before Mackay Shields, Rene Bustamante was registered through New York Life Investment Management LLC, August 2004 to September 2005.
Leadership at Mackay Shields
- Alison MicucciChief Executive Officer, Elected to the Board of Managers
- Michael CorkerChief Financial Officer, Senior Managing Director
- Christopher FitzgeraldChief Compliance Officer, Managing Director
- Naim Abou-JaoudeChairman of the Board of Managers
- Michael DepalmaSenior Managing Director
- Robert DimellaExecutive Managing Director
- Francis HarteElected to the Board of Managers
- Alain KaraoglanElected to the Board of Managers
- Young LeeGeneral Counsel, Senior Managing Director
- Kirk LehneisElected to Board of Managers
- John LoffredoVice Chairman, Executive Managing Director, Elected to the Board of Managers
- Cornelius MoriartySenior Managing Director
- Craig SabalElected to the Board of Managers
- Andrew SusserExecutive Managing Director