Michael P. Ceglie
Professional summary
Michael Patrick Ceglie, who also goes by Michael Ceglie, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Patrick Ceglie's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2010 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
Office #1: 1251 Avenue Of The Americas, New York, NY 10020September 11, 2009 - January 4, 2010
NATWEST MARKETS SECURITIES INC.
March 3, 2008 - September 11, 2009
ABN AMRO INCORPORATED
March 7, 2007 - March 13, 2008
TRUIST SECURITIES, INC.
May 25, 2004 - March 5, 2007
CIBC WORLD MARKETS CORP.
October 3, 2003 - May 26, 2004
UBS FINANCIAL 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
(1/4/2010)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
DAIWA CAPITAL MARKETS AMERICA INC.
CRD#: 1576 / SEC#: , 8-12242
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | |
| GREFE, JOHN HERBERT III | EXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER | 3275699 |
| MACHIDA, KEIJI | PRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR) | 7273228 |
| PARRY, GEORGE L | CFO / TREASURER | 3221390 |
| SAMBONGI, TOHRU | MANAGING DIRECTOR / CO-HEAD OF FIXED INCOME | 7302894 |
| UEJIMA, EIJI | MANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION | 8039040 |
| YAMAUCHI, MASAHIRO | DEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS | 7920876 |
Disclosures
| Regulatory Event | 30 |
Red Flags
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