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TB

Thomas J. Bailey

MUFG SECURITIES AMERICAS
NEW YORK, NY 10020-1001
Some features on this profile are disabled
CRD#: 2177352
TB

Professional summary

Thomas J Bailey is a registered financial professional currently at MUFG SECURITIES AMERICAS INC. located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1991. Thomas has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas J Bailey's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 18, 2025 - Present

MUFG SECURITIES AMERICAS INC.

Office #1: 1221 Avenue Of The Americas 6th Floor, New York, NY, 10020-1001
BD
CRD#: 19685
NEW YORK, NY
Past

January 21, 2010 - October 28, 2011

NOMURA SECURITIES NORTH AMERICA, LLC

BD
CRD#: 42885
NEW YORK, NY
Past

January 5, 2009 - September 3, 2025

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

April 30, 2001 - January 22, 2009

ING FINANCIAL MARKETS LLC

BD
CRD#: 28872
NEW YORK, NY
Past

July 1, 1998 - April 30, 2001

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

September 23, 1996 - July 1, 1998

ING BARING (U.S.) SECURITIES, INC.

BD
CRD#: 5285
NEW YORK, NY
Past

September 11, 1991 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

BD
CRD#: 7242
Past

September 11, 1991 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

BD
CRD#: 19655
Past

September 11, 1991 - March 6, 1996

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(8/18/2025)
RR
New York
(8/18/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/5/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/24/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/28/2009
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

MS
MUFG SECURITIES AMERICAS INC.
BOT SECURITIES, INC. | TOKYO-MITSUBISHI SECURITIES (USA), INC. | MUFG SECURITIES AMERICAS INC. | MUFG SECURITIES | MUFG | MITSUBISHI UFJ SECURITIES (USA), INC. | MITSUBISHI SECURITIES (USA), INC.

CRD#: 19685 / SEC#: , 8-43026

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1221 Avenue Of The Americas 6th Floor, New York, NY 10020-1001
Mailing Address
1221 Avenue Of The Americas 6th Floor, New York, NY 10020-1001
Phone number
(212) 405-7000
Established
New York since 12/08/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MUFG AMERICAS HOLDINGS CORPORATIONDIRECT OWNER
AULETTA, CHRISTOPHER THOMASCHIEF COMPLIANCE OFFICER4779644
GREEN, CHARLES ERWIN JRINTERNATIONAL CHIEF RISK OFFICER2939574
GUNN, BRIANOUTSIDE DIRECTOR7453790
KOMORIYA, MASATOSHIOUTSIDE DIRECTOR8066085
LINDENBERG, JONATHAN BLAKEOUTSIDE DIRECTOR2430463
MCHUGH, DENIS TIMOTHYPRESIDENT AND CHIEF EXECUTIVE OFFICER1909225
MILKMAN, PAUL DAVIDCHIEF INFORMATION SECURITY OFFICER1564708
MIYAMOTO, SHIROBOARD MEMBER8205719
MORREALE, MONIQUE LILLIANGENERAL COUNSEL8184893
NAKAO, TOSHIOBOARD MEMBER8205734
RADCLIFFE, ALEXANDER HUGH JOSEPHCHIEF FINANCIAL OFFICER7595877
THUMSER, MARK CHRISTOPHERBOARD MEMBER4759143
YARIAN, MICHAEL JAMESINTERNATIONAL BUSINESS HEAD OF SALES & TRADING2504162

Disclosures

Regulatory Event5

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.

Company Information

MUFG SECURITIES AMERICAS INC.

CRD#: 19685New York, NY 10020-1001

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