Wayne R. Wright
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.
Wayne Richard Wright was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1973. Wayne had worked at 14 firms and has passed the Series 63, SIE, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2011 - April 27, 2018
MUFG SECURITIES AMERICAS INC.
January 13, 2010 - July 19, 2011
B. RILEY SECURITIES, INC.
July 7, 2004 - April 10, 2008
SCOTIA CAPITAL (USA) INC.
September 25, 2003 - June 28, 2004
KNIGHT LIBERTAS LLC
September 4, 2003 - February 19, 2004
ASHTON THOMAS SECURITIES, LLC
June 30, 2000 - November 21, 2001
BARCLAYS CAPITAL INC.
June 21, 1986 - April 20, 2000
PRUDENTIAL EQUITY GROUP, LLC
June 12, 1980 - June 14, 1986
MORGAN STANLEY DW INC.
September 26, 1978 - April 28, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 5, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 18, 1978 - March 3, 1978
LOEB PARTNERS
February 11, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
November 14, 1974 - August 2, 1975
ROBERT W. BAIRD & CO. INCORPORATED
December 24, 1973 - December 15, 1974
STONE & WEBSTER SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/16/1982
Interest Rate Options ExaminationSeries 1
Date: 12/13/1973
Registered Representative ExaminationCurrent 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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