Steven M. Dinsmore
Professional summary
Steven Michael Dinsmore, who also goes by Steven Michael Dinsmore, Steven Dinsmore, Steven Michael Dinsmore, is a registered financial professional currently at MUFG SECURITIES AMERICAS INC. located in New York, New York.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1996. Steven has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 23, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Michael Dinsmore's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 1, 2021 - Present
MUFG SECURITIES AMERICAS INC.
Office #1: 1221 Avenue Of The Americas 6th Floor, New York, NY, 10020-1001May 3, 2018 - May 20, 2019
DWS DISTRIBUTORS, INC.
October 13, 2015 - May 3, 2018
DEUTSCHE BANK SECURITIES INC.
January 7, 2015 - September 1, 2015
COMMERZ MARKETS LLC
September 13, 2010 - January 8, 2015
UBS FINANCIAL SERVICES INC.
September 6, 2010 - January 8, 2015
UBS FINANCIAL SERVICES INC.
November 16, 2007 - July 7, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 27, 2006 - July 21, 2006
LAZARD ASSET MANAGEMENT SECURITIES LLC
January 12, 2005 - January 4, 2006
MORGAN STANLEY DW INC.
July 1, 2003 - December 7, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 29, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 27, 1999 - March 27, 2000
CITICORP INVESTMENT SERVICES
June 30, 1998 - September 29, 1998
PRUDENTIAL EQUITY GROUP, LLC
June 29, 1998 - April 16, 1999
PRUCO SECURITIES, LLC.
January 30, 1996 - February 21, 1997
A.S. GOLDMEN & CO., 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
(3/1/2021)
Exams
FINRA
Nasdaq Stock Market
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 |
Red Flags
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