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Frank Phillip Ferrara

Mufg Securities Americas Inc.

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About Frank Phillip Ferrara

Frank Ferrara is a financial professional with over 27 years of experience in the financial industry. Frank Ferrara is currently registered with Mufg Securities Americas Inc. Frank Ferrara is also registered in 51 states and the District of Columbia. Frank Ferrara holds the Series 7, Series 63, Series 79TO and SIE licenses. Frank Ferrara was previously registered with BTMU Securities, Inc., Natixis Securities Americas LLC, Natixis Securities North America Inc., Calyon Securities (USA) Inc, ING Barings LLC, ING BARING (U.S.) SECURITIES, INC. and Internationale Nederlanden (U.S.) Securities Corporation.

Firm Information

Frank Ferrara 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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Frank Ferrara’s Registration & Firm History

NY

03/14/2016 - Present

Mufg Securities Americas Inc. (NEW YORK NY)

NY

07/01/2014 - 03/14/2016

BTMU SECURITIES, INC. (NEW YORK NY)

NY

10/03/2011 - 08/10/2012

NATIXIS SECURITIES AMERICAS LLC (NEW YORK NY)

NY

06/17/2008 - 10/03/2011

NATIXIS SECURITIES NORTH AMERICA INC. (NEW YORK NY)

NY

04/10/2001 - 06/09/2008

CALYON SECURITIES (USA) INC (NEW YORK NY)

NY

07/01/1998 - 03/15/2001

ING BARINGS LLC (NEW YORK NY)

NY

11/06/1995 - 07/01/1998

ING BARING (U.S.) SECURITIES, INC. (NEW YORK NY)

NA

11/14/1994 - 11/06/1995

INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION

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Licenses & Designations

BC

Issued 03/14/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/11/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Frank Phillip Ferrara.
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