Amil V. Schiaffino
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Amil V Schiaffino, who also goes by Amil VIncent Schiaffino, was a registered financial professional .
Amil is a previously registered financial professional and started their career in finance in 1989. Amil had worked at 9 firms and has passed the Series 63, SIE, Series 16, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2014 - May 21, 2021
MUFG SECURITIES AMERICAS INC.
October 25, 2013 - September 25, 2014
BB&T SECURITIES, LLC
March 1, 2012 - October 15, 2013
GLOBAL HUNTER SECURITIES, LLC
October 13, 2009 - October 6, 2011
CANTOR FITZGERALD & CO.
July 6, 2009 - October 2, 2009
LABRANCHE FINANCIAL SERVICES, LLC
January 27, 2004 - February 11, 2009
BMO CAPITAL MARKETS CORP.
March 31, 1998 - November 24, 2003
SCOTIA CAPITAL (USA) INC.
August 13, 1996 - March 13, 1998
UBS FINANCIAL SERVICES INC.
January 24, 1989 - June 14, 1996
SCHRODER & CO. INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MUFG SECURITIES AMERICAS INC.
CRD#: 19685 / SEC#: , 8-43026
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG AMERICAS HOLDINGS CORPORATION | DIRECT OWNER | |
| AULETTA, CHRISTOPHER THOMAS | CHIEF COMPLIANCE OFFICER | 4779644 |
| GREEN, CHARLES ERWIN JR | INTERNATIONAL CHIEF RISK OFFICER | 2939574 |
| GUNN, BRIAN | OUTSIDE DIRECTOR | 7453790 |
| KOMORIYA, MASATOSHI | OUTSIDE DIRECTOR | 8066085 |
| LINDENBERG, JONATHAN BLAKE | OUTSIDE DIRECTOR | 2430463 |
| MCHUGH, DENIS TIMOTHY | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1909225 |
| MILKMAN, PAUL DAVID | CHIEF INFORMATION SECURITY OFFICER | 1564708 |
| MIYAMOTO, SHIRO | BOARD MEMBER | 8205719 |
| MORREALE, MONIQUE LILLIAN | GENERAL COUNSEL | 8184893 |
| NAKAO, TOSHIO | BOARD MEMBER | 8205734 |
| RADCLIFFE, ALEXANDER HUGH JOSEPH | CHIEF FINANCIAL OFFICER | 7595877 |
| THUMSER, MARK CHRISTOPHER | BOARD MEMBER | 4759143 |
| YARIAN, MICHAEL JAMES | INTERNATIONAL BUSINESS HEAD OF SALES & TRADING | 2504162 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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