MP
Mark F. Pibl
SMBC NIKKO SECURITIES AMERICA
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 2309480
MP
Professional summary
Mark Frank Pibl, who also goes by Mark Pibl, is a registered financial professional currently at SMBC NIKKO SECURITIES AMERICA, INC. located in San Francisco, California.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1993. Mark has worked at 14 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 16, Series 7, Series 28 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mark Pibl
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Mark Frank Pibl's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 28, 2021 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: 555 California Street 33rd Floor, San Francisco, CA 94104BD
CRD#: 28602
San Francisco, CA
Past
June 21, 2019 - June 3, 2021
CAPFI PARTNERS LLC
BD
CRD#: 113795
NEW YORK, NY
Past
November 13, 2017 - February 13, 2019
SUSQUEHANNA FINANCIAL GROUP, LLLP
BD
CRD#: 35865
NEW YORK, NY
Past
October 17, 2016 - August 3, 2017
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
September 9, 2013 - October 28, 2016
CANACCORD GENUITY LLC
BD
CRD#: 1020
NEW YORK, NY
Past
July 12, 2013 - September 3, 2013
SANTANDER US CAPITAL MARKETS LLC
BD
CRD#: 150696
NEW YORK, NY
Past
March 12, 2012 - September 3, 2013
PIERPONT CAPITAL ADVISORS LLC
BD
CRD#: 108424
NEW YORK, NY
Past
June 2, 2010 - September 16, 2011
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
August 7, 2009 - June 3, 2010
NEWOAK CAPITAL MARKETS LLC
BD
CRD#: 104063
NEW YORK, NY
Past
July 16, 2001 - February 21, 2007
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
June 11, 1998 - July 13, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 10, 1997 - July 1, 1998
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
December 13, 1993 - March 11, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 14, 1993 - November 10, 1993
CITICORP SECURITIES, INC.
BD
CRD#: 7474
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/28/2021)
RR
Alaska(6/28/2021)
RR
Arizona(6/28/2021)
RR
Arkansas(6/28/2021)
RR
California(6/28/2021)
RR
Colorado(6/28/2021)
RR
Connecticut(6/28/2021)
RR
Delaware(6/28/2021)
RR
District of Columbia(6/28/2021)
RR
Florida(6/28/2021)
RR
Georgia(6/28/2021)
RR
Hawaii(6/28/2021)
RR
Idaho(2/23/2022)
RR
Illinois(6/28/2021)
RR
Indiana(6/28/2021)
RR
Iowa(6/28/2021)
RR
Kansas(6/28/2021)
RR
Kentucky(6/28/2021)
RR
Louisiana(6/28/2021)
RR
Maine(6/28/2021)
RR
Maryland(6/28/2021)
RR
Massachusetts(6/28/2021)
RR
Michigan(6/28/2021)
RR
Minnesota(6/28/2021)
RR
Mississippi(6/28/2021)
RR
Missouri(6/28/2021)
RR
Montana(2/23/2022)
RR
Nebraska(2/23/2022)
RR
Nevada(6/28/2021)
RR
New Hampshire(6/28/2021)
RR
New Jersey(6/28/2021)
RR
New Mexico(2/23/2022)
RR
New York(6/28/2021)
RR
North Carolina(6/28/2021)
RR
North Dakota(2/23/2022)
RR
Ohio(6/29/2021)
RR
Oklahoma(6/28/2021)
RR
Oregon(6/28/2021)
RR
Pennsylvania(6/28/2021)
RR
Rhode Island(6/28/2021)
RR
South Carolina(2/23/2022)
RR
South Dakota(6/28/2021)
RR
Tennessee(6/28/2021)
RR
Texas(6/28/2021)
RR
Utah(6/28/2021)
RR
Vermont(2/23/2022)
RR
Virginia(6/28/2021)
RR
Washington(6/28/2021)
RR
West Virginia(6/28/2021)
RR
Wisconsin(6/28/2021)
RR
Wyoming(2/23/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 9/12/2020
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
Current Firm
SN
SMBC NIKKO SECURITIES AMERICA, INC.
SMBC NIKKO SECURITIES AMERICA, INC. | SUMITOMO BANK SECURITIES, INC. | SMBC SECURITIES, INC.
CRD#: 28602 / SEC#: , 8-43852
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
277 Park Avenue Fifth Floor, New York, NY 10172
Mailing Address
277 Park Avenue Fifth Floor, New York, NY 10172
Phone number
(212) 224-5300
Established
Delaware since 08/08/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMBC AMERICAS HOLDINGS, INC. | SHAREHOLDER | |
| ASHBY, SCOTT ALLEN | PRESIDENT, CEO, DIRECTOR, CO-HEAD OF COVERAGE & CAPITAL MARKETS, EXECUTIVE COMMITTEE MEMBER | 2883181 |
| DAVISON, RICHARD PATRICK | DIRECTOR | 4890514 |
| EISENBERG, RICHARD ALLAN | DEPUTY PRESIDENT, DIRECTOR, CO-HEAD OF COVERAGE & CAPITAL MARKETS, EXECUTIVE COMMITTEE MEMBER | 3118461 |
| ISHIKAWA, TSUKASA | DEPUTY PRESIDENT, DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE COMMITTEE MEMBER | 7948966 |
| KAWARA, AKIHIRO | DEPUTY HEAD OF GLOBAL MARKETS, AMERICAS, DIRECTOR, CHAIRPERSON OF THE BOARD | 7471377 |
| KEE, DAVID | DEPUTY PRESIDENT, EXECUTIVE COMMITTEE MEMBER | 6238539 |
| KIM, SANGJOON | CHIEF RISK OFFICER, EXECUTIVE COMMITTEE MEMBER | 2545295 |
| KRANZ, AVERY H | CHIEF COMPLIANCE OFFICER, EXECUTIVE COMMITTEE MEMBER | 2795963 |
| NONAKA, MASAHITO | HEAD OF GLOBAL MARKETS, AMERICAS, DEPUTY PRESIDENT, DIRECTOR, EXECUTIVE COMMITTEE MEMBER | 7221513 |
| OISHI, SHUMPEI | DEPUTY PRESIDENT, EXECUTIVE COMMITTEE MEMBER | 6100774 |
| PIETRO, BRIAN | FINOP, PRINCIPAL OPERATIONS OFFICER, DEPUTY CHIEF OPERATING OFFICER, EXECUTIVE COMMITTEE MEMBER | 5323643 |
| TUN, NATHAN | PRINCIPAL FINANCIAL OFFICER | 5551828 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
