Robert R. Wenzel
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.
Robert Randall Wenzel was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 8 firms and has passed the Series 63, SIE, Series 79 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
April 1, 2017 - March 7, 2018
MUFG SECURITIES AMERICAS INC.
August 14, 2014 - April 1, 2017
MUFG AMERICAS CORPORATE ADVISORY, INC.
April 5, 2005 - December 7, 2005
NYPPEX, LLC
February 27, 2002 - March 21, 2005
OSAIC WEALTH, INC.
January 1, 2001 - October 5, 2001
MILLER JOHNSON STEICHEN KINNARD, INC.
July 3, 2000 - January 1, 2001
MJK CLEARING, INC.
January 4, 2000 - October 1, 2001
R.W. SMITH & ASSOCIATES, LLC
November 5, 1999 - January 31, 2000
BUTLER MUNI, LLC
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
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
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.
