Sherwin J. Voss
Professional summary
Sherwin Jacob Voss, who also goes by Sherwin Voss, Shervin Jacob Vossooghi, is a registered financial professional currently at MUFG SECURITIES AMERICAS INC. located in New York, New York.
Sherwin is registered as a RR (Registered Representative) and started their career in finance in 2001. Sherwin has worked at 7 firms and has passed the Series 63, SIE, Series 79TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sherwin Jacob Voss's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 6, 2021 - Present
MUFG SECURITIES AMERICAS INC.
Office #1: 1221 Avenue Of The Americas 6th Floor, New York, NY, 10020-1001December 10, 2014 - February 26, 2015
FORESTERS EQUITY SERVICES, INC.
May 24, 2012 - October 2, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 2, 2009 - May 14, 2010
UNION CAPITAL COMPANY
May 25, 2007 - October 25, 2007
WORLD GROUP SECURITIES, INC.
October 1, 2003 - April 15, 2005
CITICORP INVESTMENT SERVICES
November 28, 2001 - January 4, 2002
QUEST CAPITAL STRATEGIES, 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
(3/1/2022)
(3/1/2022)
Exams
Series 79TO
Date: 10/16/2021
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 | |
| 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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