Avery H. Kranz
Professional summary
Avery H Kranz, who also goes by Avery Hayden Kranz, is a registered financial professional currently at SMBC NIKKO SECURITIES AMERICA, INC. located in New York, New York.
Avery is registered as a RR (Registered Representative) and started their career in finance in 1996. Avery has worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Avery H Kranz's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2020 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: 277 Park Avenue, New York, NY 10172September 1, 2018 - March 16, 2020
BMO CAPITAL MARKETS CORP.
April 30, 2012 - September 1, 2018
KGS-ALPHA CAPITAL MARKETS, L.P.
January 24, 2011 - April 18, 2012
JEFFERIES LLC
December 2, 2009 - September 13, 2010
CITADEL SECURITIES LLC
April 7, 2004 - November 16, 2009
CITIGROUP GLOBAL MARKETS INC.
December 22, 1997 - March 17, 2004
COMMERZ MARKETS LLC
October 16, 1996 - October 10, 1997
BARCLAYS CAPITAL 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
(9/30/2020)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative 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 |
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