David E. Rofsky
Professional summary
David Eric Rofsky, who also goes by David E Rofsky, was a registered financial professional .
David is registered as a RR (Registered Representative) and started their career in finance in 1996. David had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Eric Rofsky's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2020 - December 5, 2022
MUFG SECURITIES AMERICAS INC.
May 10, 2019 - April 3, 2020
BOFA SECURITIES, INC.
October 26, 2013 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 2003 - November 30, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 15, 2002 - December 11, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 12, 1999 - April 11, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 16, 1996 - July 12, 1999
BA INVESTMENT SERVICES, 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
(2/23/2023)
Exams
Series 79TO
Date: 1/29/2021
Investment Banking Registered Representative ExaminationFINRA
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 | |
| 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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