Kerry A. Esmay
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.
Kerry Ann Esmay, who also goes by Kerry Ann Hayde, was a registered financial professional .
Kerry is a previously registered financial professional and started their career in finance in 2007. Kerry had worked at 4 firms and has passed the Series 63, Series 79TO, SIE 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
August 2, 2016 - October 17, 2017
MUFG SECURITIES (CANADA), LTD.
November 18, 2009 - July 3, 2023
MUFG SECURITIES AMERICAS INC.
January 26, 2009 - November 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 17, 2007 - November 17, 2009
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
MUFG SECURITIES (CANADA), LTD.
CRD#: 281904 / SEC#: , 8-69693
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG SECURITIES AMERICAS INC. | PARENT COMPANY | 19685 |
| GARDNER, CRAIG | OUTSIDE DIRECTOR | 6685620 |
| HSU, WEN-CHUAN | CHIEF COMPLIANCE OFFICER | 2572221 |
| MANSFIELD, WILLIAM RENICK JR | CEO | 1398078 |
| MCDERMOTT, KEITH FRANCIS | CHIEF FINANCIAL OFFICER | 2179486 |
| TESTA, RICHARD CARMINE | MANAGING DIRECTOR, CO-HEAD OF CAPITAL MARKETS | 2573394 |
Red Flags
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