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CA

Clarke D. Adams

SMBC NIKKO SECURITIES AMERICA
New York, NY 10172
Some features on this profile are disabled
CRD#: 2757461
CA

Professional summary

Clarke Daniel Adams is a registered financial professional currently at SMBC NIKKO SECURITIES AMERICA, INC. located in New York, New York and SMBC NIKKO SECURITIES CANADA, LTD. located in New York, New York.

Clarke is registered as a RR (Registered Representative) and started their career in finance in 1997. Clarke has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Clarke Daniel Adams'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®
None

Experience

Current

February 7, 2024 - Present

SMBC NIKKO SECURITIES AMERICA, INC.

Office #1: 277 Park Avenue, New York, NY 10172
BD
CRD#: 28602
New York, NY
Current

May 24, 2024 - Present

SMBC NIKKO SECURITIES CANADA, LTD.

Office #1: 277 Park Avenue, New York, NY 10172
BD
CRD#: 297706
New York, NY
Past

December 2, 2010 - January 25, 2024

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
New York, NY
Past

November 8, 2007 - May 6, 2010

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

December 18, 2000 - November 7, 2007

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 28, 1997 - December 18, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ

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
(2/7/2024)
RR
Alaska
(2/7/2024)
RR
Arizona
(2/7/2024)
RR
Arkansas
(2/7/2024)
RR
California
(2/7/2024)
RR
Colorado
(2/7/2024)
RR
Connecticut
(2/7/2024)
RR
Delaware
(2/7/2024)
RR
District of Columbia
(2/7/2024)
RR
Florida
(2/7/2024)
RR
Georgia
(2/7/2024)
RR
Hawaii
(2/7/2024)
RR
Idaho
(2/7/2024)
RR
Illinois
(2/7/2024)
RR
Indiana
(2/7/2024)
RR
Iowa
(2/7/2024)
RR
Kansas
(2/7/2024)
RR
Kentucky
(2/7/2024)
RR
Louisiana
(2/7/2024)
RR
Maine
(2/7/2024)
RR
Maryland
(2/7/2024)
RR
Massachusetts
(2/7/2024)
RR
Michigan
(2/7/2024)
RR
Minnesota
(2/7/2024)
RR
Mississippi
(2/7/2024)
RR
Missouri
(2/7/2024)
RR
Montana
(2/7/2024)
RR
Nebraska
(2/7/2024)
RR
Nevada
(2/7/2024)
RR
New Hampshire
(2/7/2024)
RR
New Jersey
(2/7/2024)
RR
New Mexico
(2/7/2024)
RR
New York
(2/7/2024)
RR
North Carolina
(2/7/2024)
RR
North Dakota
(2/7/2024)
RR
Ohio
(2/7/2024)
RR
Oklahoma
(2/7/2024)
RR
Oregon
(2/7/2024)
RR
Pennsylvania
(2/7/2024)
RR
Rhode Island
(2/7/2024)
RR
South Carolina
(2/7/2024)
RR
South Dakota
(2/7/2024)
RR
Tennessee
(2/7/2024)
RR
Texas
(2/7/2024)
RR
Utah
(2/7/2024)
RR
Vermont
(2/7/2024)
RR
Virginia
(2/7/2024)
RR
Washington
(2/7/2024)
RR
West Virginia
(2/7/2024)
RR
Wisconsin
(2/7/2024)
RR
Wyoming
(2/7/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/10/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/27/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/21/2021
General Securities Principal Examination
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 CANADA, LTD.
SMBC NIKKO SECURITIES CANADA, LTD.

CRD#: 297706 / SEC#: , 8-70176

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
277 Park Avenue, New York, NY 10172
Mailing Address
277 Park Avenue, New York, NY 10172
Phone number
(212) 224-5300
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SMBC NIKKO SECURITIES AMERICA, INC.SHAREHOLDER28602
ASHBY, SCOTT ALLENDIRECTOR2883181
BAUSANO, THOMAS BARRYDIRECTOR4009782
KEE, DAVIDCEO, DIRECTOR6238539
PARRISH, MICHAEL JOHNCHIEF COMPLIANCE OFFICER5577471
TUN, NATHANFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER5551828

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.

Company Information

SMBC NIKKO SECURITIES CANADA, LTD.

CRD#: 297706New York, NY 10172

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