Michael T. Geroux

MUFG SECURITIES AMERICAS

NEW YORK, NY 10020-1001

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CRD#: 2740073

Professional summary

Michael Thomas Geroux, who also goes by Michael Geroux, is a registered financial professional currently at MUFG SECURITIES AMERICAS INC. located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 4 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Geroux

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Thomas Geroux's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 19, 2018 - Present

MUFG SECURITIES AMERICAS INC.

Office #1: 1221 Avenue Of The Americas 6th Floor, New York, NY, 10020-1001

CRD#: 19685

NEW YORK, NY

Past

March 11, 2015 - April 4, 2016

CVP CAPITAL LLC

CRD#: 165602

Greenwich, CT

Past

June 26, 2007 - October 12, 2010

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

July 22, 2004 - June 19, 2007

J.P. MORGAN SECURITIES INC.

CRD#: 18718

CHICAGO, IL

Past

February 14, 2002 - September 12, 2002

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

May 29, 1996 - August 11, 2000

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(12/21/2018)

Exams

State Security Law Exam

Series 63

Date: 12/21/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 7/19/2018

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 5/8/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MUFG SECURITIES AMERICAS INC.

CRD#: 19685 / SEC#: , 8-43026

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1221 Avenue Of The Americas 6th Floor, New York, NY 10020-1001

Mailing Address

1221 Avenue Of The Americas 6th Floor, New York, NY 10020-1001

Phone number

(212) 405-7000

Established

New York since 12/08/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

Red Flags

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Firm Stability Insights

Michael T. Geroux

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Thomas Geroux's CRS (Customer Relationship Summary).

Certified licenses

Experience

CVP CAPITAL LLC

CREDIT SUISSE SECURITIES (USA) LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/21/2018

SIE

Date: 10/1/2018

Series 79

Date: 7/19/2018

Series 7

Date: 5/8/1996

FINRA

Current Firm

MUFG SECURITIES AMERICAS INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MUFG SECURITIES AMERICAS INC.

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