Todd A. Patterson
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.
Todd Austin Patterson, who also goes by Todd Austin Patterson, Todd Patterson, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1997. Todd had worked at 7 firms and has passed the Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2023 - April 16, 2026
MUFG SECURITIES AMERICAS INC.
October 13, 2020 - April 25, 2023
ING FINANCIAL MARKETS LLC
January 24, 2013 - September 18, 2020
HSBC SECURITIES (USA) INC.
September 3, 2008 - March 4, 2011
CREDIT SUISSE SECURITIES (USA) LLC
August 25, 2003 - September 3, 2008
SWISS AMERICAN SECURITIES INC.
June 12, 2001 - December 12, 2002
COMMERZ MARKETS LLC
December 8, 1997 - May 30, 2001
CIBC WORLD MARKETS CORP.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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 | |
| AULETTA, CHRISTOPHER THOMAS | CHIEF COMPLIANCE OFFICER | 4779644 |
| GREEN, CHARLES ERWIN JR | INTERNATIONAL CHIEF RISK OFFICER | 2939574 |
| GUNN, BRIAN | OUTSIDE DIRECTOR | 7453790 |
| 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 |
| MIYAMOTO, SHIRO | BOARD MEMBER | 8205719 |
| MORREALE, MONIQUE LILLIAN | GENERAL COUNSEL | 8184893 |
| NAKAO, TOSHIO | BOARD MEMBER | 8205734 |
| RADCLIFFE, ALEXANDER HUGH JOSEPH | CHIEF FINANCIAL OFFICER | 7595877 |
| THUMSER, MARK CHRISTOPHER | BOARD MEMBER | 4759143 |
| YARIAN, MICHAEL JAMES | INTERNATIONAL BUSINESS HEAD OF SALES & TRADING | 2504162 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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