Vanwyck L. Dusenbury
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.
Vanwyck Loomis Dusenbury, who also goes by Vanwyck Dusenbury, was a registered financial professional .
Vanwyck is a previously registered financial professional and started their career in finance in 1991. Vanwyck had worked at 2 firms and has passed the Series 63, SIE, Series 79, 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
February 14, 2011 - September 19, 2016
MUFG AMERICAS CORPORATE ADVISORY, INC.
February 27, 1991 - August 17, 1994
CITICORP SECURITIES, 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 AMERICAS CORPORATE ADVISORY, INC.
CRD#: 10151 / SEC#: , 8-26042
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG AMERICAS HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BURNS, CHRISTOPHER WILLIAM | BOARD MEMBER, SECRETARY | 2622449 |
| CHAFETZ, RANDALL CRAIG | BOARD MEMBER | 1747025 |
| CRONIN, KEVIN PETER | PRESIDENT & CEO, CHAIRMAN OF THE BOARD | 2883303 |
| HSU, WEN-CHUAN | CHIEF COMPLIANCE OFFICER | 2572221 |
| MATHIS, CAROL PEDERSEN | CHIEF FINANCIAL OFFICER | 4322657 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
