Wayne Powers
Professional Summary
Wayne Powers, who also goes by Wayne J Powers, Wayne Joseph Powers, is a registered financial advisor currently at SMBC NIKKO SECURITIES CANADA, LTD. located in New York, New York and SMBC NIKKO SECURITIES AMERICA, INC. located in Jersey City, New Jersey. Wayne is registered as a RR (Registered Representative) and started their career in finance in 1994. Wayne has worked at 13 firms and has passed the Series 63, Series 99TO, SIE, Series 7...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Wayne J Powers, Wayne Joseph Powers
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
32 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
SMBC NIKKO SECURITIES AMERICA, INC. | SUMITOMO BANK SECURITIES, INC. | SMBC SECURITIES, INC.
Contact Information
Main Address
277 Park Avenue Fifth Floor, New York, NY 10172Mailing Address
277 Park Avenue Fifth Floor, New York, NY 10172Phone Number
(212) 224-5300Established
Delaware since 08/08/1990Firm Type
CorporationFiscal Year End
DecemberFirm Size
LargeFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| 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 | PRINCIPAL OPERATIONS OFFICER (POO), DEPUTY CHIEF OPERATING OFFICER, EXECUTIVE COMMITTEE MEMBER | 5323643 |
| POWERS, WAYNE | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO) | 2444741 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Wayne Powers's CRS (Customer Relationship Summary).
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