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Arturo Antonio De pena

Mufg Securities Americas Inc.

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About Arturo Antonio De pena

Arturo De Pena is a financial professional with over 25 years of experience in the industry. Arturo is currently registered with MUFG Securities Americas Inc. in New York, New York. Arturo has held previous positions at BTMU Securities, Inc., Citadel Securities LLC, RBS Securities Inc., RBS Securities Corporation, Credit Suisse First Boston LLC, TD Securities (USA) Inc., and BNY Capital Markets Inc. Arturo has a broad range of experience in the financial services industry, and is well-versed in various investment products and strategies.

Firm Information

Arturo De pena 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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Arturo De pena’s Registration & Firm History

NY

03/14/2016 - Present

Mufg Securities Americas Inc. (NEW YORK NY)

NY

12/20/2011 - 03/14/2016

BTMU SECURITIES, INC. (NEW YORK NY)

NY

02/04/2010 - 08/12/2011

CITADEL SECURITIES LLC (NEW YORK NY)

CT

04/28/2008 - 12/23/2009

RBS SECURITIES INC. (STAMFORD CT)

NY

05/14/2004 - 04/25/2008

RBS SECURITIES CORPORATION (NEW YORK NY)

NY

10/14/1997 - 10/03/2003

CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)

NY

07/03/1996 - 08/22/1997

TD SECURITIES (USA) INC. (NEW YORK NY)

NY

06/05/1996 - 06/20/1996

BNY CAPITAL MARKETS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/30/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/30/2004

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/15/2012

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 06/04/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Arturo Antonio De pena.
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