Wayne Powers
Professional summary
Wayne Powers, who also goes by Wayne J Powers, Wayne Joseph Powers, is a registered financial professional 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 and Series 27 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Wayne Powers's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2026 - Present
SMBC NIKKO SECURITIES CANADA, LTD.
Office #1: 277 Park Avenue, New York, NY 10172July 22, 2026 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: Harborside Financial Center 2 200 Hudson Street, Suite 402, Jersey City, NJ 07311January 10, 2024 - December 19, 2025
UBS SECURITIES LLC
January 15, 2020 - May 31, 2025
CREDIT SUISSE SECURITIES (USA) LLC
September 5, 2014 - February 23, 2017
PRIME DEALER SERVICES CORP.
September 5, 2014 - February 23, 2017
MORGAN STANLEY DISTRIBUTION, INC.
September 5, 2014 - February 23, 2017
MORGAN STANLEY
May 23, 2007 - June 18, 2019
MORGAN STANLEY & CO. LLC
September 30, 2004 - March 6, 2007
SANFORD C. BERNSTEIN & CO., LLC
November 24, 2003 - August 18, 2004
NOMURA SECURITIES INTERNATIONAL, INC.
January 7, 1997 - March 18, 1999
NOMURA SECURITIES INTERNATIONAL, INC.
July 10, 1996 - October 28, 1996
IDS LIFE INSURANCE COMPANY
July 10, 1996 - October 28, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
April 4, 1994 - July 17, 1995
SALOMON BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 10/16/2023
Operations Professional ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
NYSE Arca, Inc.
Current Firm
SMBC NIKKO SECURITIES AMERICA, INC.
CRD#: 28602 / SEC#: , 8-43852
Contact information
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
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