Anthony N. Defilippis
Professional summary
Anthony Nicholas Defilippis is a registered financial professional currently at MUFG SECURITIES AMERICAS INC. located in New York, New York.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 1992. Anthony has worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 6, Series 9, Series 10, Series 14, Series 24, Series 8 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Anthony Nicholas Defilippis's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 28, 2017 - Present
MUFG SECURITIES AMERICAS INC.
Office #1: 1221 Avenue Of The Americas 6th Floor, New York, NY, 10020-1001July 19, 2001 - May 29, 2015
UBS SECURITIES LLC
September 23, 1998 - May 24, 2001
PERSHING LLC
April 24, 1998 - September 24, 1998
CITICORP SECURITIES SERVICES, INC.
October 7, 1993 - June 6, 1997
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
August 17, 1992 - September 22, 1993
METROPOLITAN LIFE INSURANCE COMPANY
August 17, 1992 - September 22, 1993
MSI FINANCIAL SERVICES, 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
(4/28/2017)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 11/11/1994
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
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 | |
| GARVEY, EILEEN ELIZABETH | INDEPENDENT NON-EXECUTIVE DIRECTOR | 7045039 |
| GREEN, CHARLES ERWIN JR | INTERNATIONAL CHIEF RISK OFFICER | 2939574 |
| GUNN, BRIAN | OUTSIDE DIRECTOR | 7453790 |
| KAMLANI, SUNEEL KISHIN | OUTSIDE DIRECTOR | 1856118 |
| 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 |
| MORREALE, MONIQUE LILLIAN | GENERAL COUNSEL | 8184893 |
| RADCLIFFE, ALEXANDER HUGH JOSEPH | CHIEF FINANCIAL OFFICER | 7595877 |
| SCANDURA, STEPHEN THOMAS | CHIEF COMPLIANCE OFFICER | 4539229 |
| YAMASHITA, ATSUSHI | OUTSIDE DIRECTOR | 7562428 |
| YARIAN, MICHAEL JAMES | INTERNATIONAL BUSINESS HEAD OF SALES & TRADING | 2504162 |
Disclosures
| Regulatory Event | 5 |
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