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Andrea Kapica

Mufg Securities Americas Inc.

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About Andrea Kapica

Andrea Kapica is a financial professional with over 25 years of experience in the industry. Andrea has held positions at several firms, including CREDIT SUISSE SECURITIES (USA) LLC, NEEDHAM & COMPANY, INC., SALOMON SMITH BARNEY INC., and DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION. Andrea currently works at Mufg Securities Americas Inc. Andrea is licensed to sell securities in all 50 states. Andrea holds the Series 7, Series 55, SIE, Series 57TO, and Series 79TO licenses.

Firm Information

Andrea Kapica is currently registered with Mufg Securities Americas Inc.. Mufg Securities Americas Inc. is a corporation approved on December 8, 1988. It is registered in all 50 states, the District of Columbia, and Puerto Rico. The firm has been registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

351

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Andrea Kapica’s Registration & Firm History

NY

11/27/2023 - Present

Mufg Securities Americas Inc. (NEW YORK NY)

NY

03/01/2005 - 01/03/2024

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

11/15/2001 - 03/03/2005

NEEDHAM & COMPANY, INC. (NEW YORK NY)

NY

12/04/2000 - 11/21/2001

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NJ

03/31/1997 - 10/02/2000

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 10/20/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/07/2015

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/11/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Andrea Kapica.
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