Allan M. Klein
Professional summary
Allan Michael Klein, who also goes by Michael Klein, Allan Michael Klein, Allan Mike Klein, is a registered financial professional currently at MUFG SECURITIES AMERICAS INC. located in New York, New York.
Allan is registered as a RR (Registered Representative) and started their career in finance in 2000. Allan has 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) - BD
Click below to view Allan Michael Klein's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 15, 2021 - Present
MUFG SECURITIES AMERICAS INC.
Office #1: 1221 Avenue Of The Americas 6th Floor, New York, NY, 10020-1001February 22, 2016 - October 26, 2020
REGIONS SECURITIES LLC
July 28, 2010 - September 2, 2010
MORGAN STANLEY
January 24, 2008 - July 1, 2009
FIRST CITIZENS CAPITAL SECURITIES, LLC
June 23, 2005 - December 21, 2007
CITIGROUP GLOBAL MARKETS INC.
July 1, 2003 - May 17, 2005
WELLS FARGO SECURITIES, LLC
October 15, 2001 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
December 6, 2000 - October 15, 2001
WACHOVIA SECURITIES, 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
(3/15/2021)
(3/15/2021)
Exams
FINRA
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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