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FIRM PROFILE
Overview
MUFG SECURITIES AMERICAS INC. is located at 1221 Avenue Of The Americas 6th Floor, New York, NY 10020-1001 and was first established at New York, New York in 12/08/1988. After operating for 37 years, MUFG SECURITIES AMERICAS INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of MUFG SECURITIES AMERICAS INC.’s clients are individuals and 0% of their clients are high net worth individuals. MUFG SECURITIES AMERICAS INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at MUFG SECURITIES AMERICAS INC. are registered to handle securities or provide financial advice. The firm has 5 disclosures, 5 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access MUFG SECURITIES AMERICAS INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at MUFG SECURITIES AMERICAS INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for MUFG SECURITIES AMERICAS INC. Comes From
Understanding the Statistics for MUFG SECURITIES AMERICAS INC. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
1221 Avenue Of The Americas 6th Floor, New York, NY 10020-1001
1221 Avenue Of The Americas 6th Floor, New York, NY 10020-1001
Large
(212) 405-7000
New York since 12/08/1988
Corporation
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at MUFG SECURITIES AMERICAS INC.
James Joseph Dugan
Ryan Daues
Sameer Lalji
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