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CA

Christopher T. Auletta

MUFG SECURITIES AMERICAS
NEW YORK, NY 10020-1001
Some features on this profile are disabled
CRD#: 4779644
CA

Professional summary

Christopher Thomas Auletta, who also goes by Christopher T Auletta, Christopher Thomas Auletta, Christopher Auletta, Christopher T T Auletta, is a registered financial professional currently at MUFG SECURITIES AMERICAS INC. located in New York, New York and INTREPID INVESTMENT BANKERS LLC located in Los Angeles, California.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2005. Christopher has worked at 5 firms and has passed the SIE, Series 7 and Series 14 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher T Auletta | Christopher Thomas Auletta | Christopher Auletta | Christopher T T Auletta

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Thomas Auletta's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 12, 2026 - Present

MUFG SECURITIES AMERICAS INC.

Office #1: 1221 Avenue Of The Americas 6th Floor, New York, NY, 10020-1001
BD
CRD#: 19685
NEW YORK, NY
Current

January 13, 2026 - Present

INTREPID INVESTMENT BANKERS LLC

Office #1: 11755 Wilshire Blvd. Suite 2150 And 2200, Los Angeles, CA 90025
BD
CRD#: 154801
LOS ANGELES, CA
Past

January 20, 2011 - December 10, 2025

UBS SECURITIES LLC

BD
CRD#: 7654
New York, NY
Past

April 18, 2006 - September 9, 2010

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

December 20, 2005 - April 18, 2006

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 10/9/2025
Compliance Officer Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

II
INTREPID INVESTMENT BANKERS LLC
INTREPID INVESTMENT BANKERS LLC | INTREPID MERCHANT BANKERS, LLC

CRD#: 154801 / SEC#: , 8-68674

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
11755 Wilshire Blvd., Suite 2150 And 2200, Los Angeles, CA 90025
Mailing Address
11755 Wilshire Blvd., Suite 2150 And 2200, Los Angeles, CA 90025
Phone number
(310) 478-9000
Established
Delaware since 04/28/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MUFG AMERICAS HOLDINGS CORPORATIONDIRECT OWNER
AULETTA, CHRISTOPHER THOMASCHIEF COMPLIANCE OFFICER4779644
BAGDASARIAN, EDUARDCEO1307175
FREEDMAN, JAMES BARRYMANAGING DIRECTOR, CHAIRMAN1616904
MILKMAN, PAUL DAVIDCHIEF INFORMATION SECURITY OFFICER1564708
MORIN, STACEY LYNNCHIEF FINANCIAL OFFICER5649422
ROSENBERG, W MICHAELSENIOR MANAGING DIRECTOR1617639

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

INTREPID INVESTMENT BANKERS LLC

CRD#: 154801New York, NY 10020-1001

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