Charles M. Trunz
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.
Charles Maximilian Trunz III was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 4 firms and has passed the 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
June 6, 2014 - December 22, 2014
MUFG AMERICAS CORPORATE ADVISORY, INC.
July 3, 2012 - December 4, 2014
MUFG SECURITIES AMERICAS INC.
May 1, 2001 - March 15, 2002
J.P. MORGAN SECURITIES INC.
November 18, 1993 - May 1, 2001
JPMSI
State Registrations and Notice Filings
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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
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