Keith F. Mcdermott
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.
Keith Francis Mcdermott was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1992. Keith had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2017 - November 13, 2019
MUFG AMERICAS CORPORATE ADVISORY, INC.
June 10, 2016 - October 17, 2017
MUFG SECURITIES (CANADA), LTD.
June 11, 2012 - November 13, 2019
MUFG SECURITIES AMERICAS INC.
October 1, 2008 - June 15, 2012
J.P. MORGAN SECURITIES LLC
March 22, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
October 9, 2002 - March 26, 2004
DEUTSCHE BANK SECURITIES INC.
October 31, 1997 - August 27, 2002
CREDIT SUISSE SECURITIES (USA) LLC
December 12, 1994 - November 11, 1997
BBVA SECURITIES INC.
September 2, 1993 - December 8, 1994
INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION
October 15, 1992 - July 18, 1994
ECOBAN SECURITIES CORPORATION
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.
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