Michael J. Asciutto
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.
Michael John Asciutto, who also goes by Michael T Asciutto, Asciutto, Michael John Ascuitto, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2017 - October 13, 2022
CITIC SECURITIES INTERNATIONAL USA, LLC
February 15, 2013 - January 3, 2024
CLSA AMERICAS, LLC
September 3, 1999 - June 3, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
September 18, 1998 - August 28, 1999
DB ALEX. BROWN LLC
December 5, 1995 - January 8, 1999
UBS SECURITIES LLC
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 4/9/1999
Limited Representative-Equity Trader ExamCurrent Firm
CITIC SECURITIES INTERNATIONAL USA, LLC
CRD#: 158266 / SEC#: , 8-68887
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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