Ross M. Fleck
Professional summary
Ross Mazur Fleck, who also goes by Ross Fleck, is a registered financial professional currently at MUFG SECURITIES AMERICAS INC. located in New York, New York.
Ross is registered as a RR (Registered Representative) and started their career in finance in 2013. Ross has worked at 2 firms and has passed the Series 63, Series 66, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ross Mazur Fleck's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 2, 2023 - Present
MUFG SECURITIES AMERICAS INC.
Office #1: 1221 Avenue Of The Americas 6th Floor, New York, NY, 10020-1001May 25, 2021 - June 13, 2022
HSBC SECURITIES (USA) INC.
April 23, 2013 - November 17, 2014
HSBC SECURITIES (USA) INC.
March 26, 2013 - November 17, 2014
HSBC SECURITIES (USA) 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
(4/26/2024)
(4/26/2024)
Exams
Series 79TO
Date: 5/25/2021
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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