TF
Thomas D. Fleming
MUFG SECURITIES AMERICAS
NEW YORK, NY 10020-1001
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CRD#: 2804608
TF
Professional summary
Thomas Dwyer Fleming, who also goes by Thomas D Fleming, is a registered financial professional currently at MUFG SECURITIES AMERICAS INC. located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 5 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas D Fleming
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Dwyer Fleming's 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®
NoneExperience
Current
October 16, 2018 - Present
MUFG SECURITIES AMERICAS INC.
Office #1: 1221 Avenue Of The Americas 6th Floor, New York, NY, 10020-1001BD
CRD#: 19685
NEW YORK, NY
Past
August 19, 2015 - March 9, 2018
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
January 28, 2013 - August 6, 2015
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
NEW YORK, NY
Past
May 1, 2006 - February 20, 2013
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
March 5, 1998 - May 1, 2006
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(10/16/2018)
RR
Alaska(10/16/2018)
RR
Arizona(10/16/2018)
RR
Arkansas(10/16/2018)
RR
California(10/16/2018)
RR
Colorado(10/16/2018)
RR
Connecticut(10/16/2018)
RR
Delaware(10/16/2018)
RR
District of Columbia(10/16/2018)
RR
Florida(10/16/2018)
RR
Georgia(10/16/2018)
RR
Hawaii(10/16/2018)
RR
Idaho(10/16/2018)
RR
Illinois(10/16/2018)
RR
Indiana(10/16/2018)
RR
Iowa(10/16/2018)
RR
Kansas(10/16/2018)
RR
Kentucky(10/16/2018)
RR
Louisiana(10/16/2018)
RR
Maine(10/16/2018)
RR
Maryland(10/16/2018)
RR
Massachusetts(10/16/2018)
RR
Michigan(10/16/2018)
RR
Minnesota(10/16/2018)
RR
Mississippi(10/16/2018)
RR
Missouri(10/16/2018)
RR
Montana(10/16/2018)
RR
Nebraska(10/16/2018)
RR
Nevada(10/16/2018)
RR
New Hampshire(10/16/2018)
RR
New Jersey(10/16/2018)
RR
New Mexico(10/16/2018)
RR
New York(10/16/2018)
RR
North Carolina(10/17/2018)
RR
North Dakota(10/16/2018)
RR
Ohio(10/16/2018)
RR
Oklahoma(10/16/2018)
RR
Oregon(10/16/2018)
RR
Pennsylvania(10/16/2018)
RR
Puerto Rico(5/17/2022)
RR
Rhode Island(10/16/2018)
RR
South Carolina(10/16/2018)
RR
South Dakota(10/16/2018)
RR
Tennessee(10/16/2018)
RR
Texas(10/16/2018)
RR
Utah(10/16/2018)
RR
Vermont(10/16/2018)
RR
Virginia(10/16/2018)
RR
Washington(10/16/2018)
RR
West Virginia(10/16/2018)
RR
Wisconsin(10/16/2018)
RR
Wyoming(10/16/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MUFG SECURITIES AMERICAS INC.
BOT SECURITIES, INC. | TOKYO-MITSUBISHI SECURITIES (USA), INC. | MUFG SECURITIES AMERICAS INC. | MUFG SECURITIES | MUFG | MITSUBISHI UFJ SECURITIES (USA), INC. | MITSUBISHI SECURITIES (USA), INC.
CRD#: 19685 / SEC#: , 8-43026
BD
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)
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
