Simon W. Lee
Professional summary
Simon W Lee is a registered financial professional currently at SMBC NIKKO SECURITIES AMERICA, INC. located in Jersey City, New Jersey and SMBC NIKKO SECURITIES CANADA, LTD. located in New York, New York.
Simon is registered as a RR (Registered Representative) and started their career in finance in 2012. Simon has worked at 13 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Simon W Lee's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 3, 2020 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: Harborside Financial Center 2 200 Hudson Street, Suite 402, Jersey City, NJ 07311June 4, 2025 - Present
SMBC NIKKO SECURITIES CANADA, LTD.
Office #1: 277 Park Avenue, New York, NY 10172August 29, 2017 - November 25, 2019
SUNRISE BROKERS LLC
August 29, 2017 - November 25, 2019
MINT BROKERS
August 29, 2017 - November 25, 2019
GFI SECURITIES LLC
August 29, 2017 - November 25, 2019
FMX EXECUTION, LLC
August 29, 2017 - November 25, 2019
CFWP SECURITIES, LLC
August 29, 2017 - November 25, 2019
CF SECURED, LLC
August 29, 2017 - November 25, 2019
BGC FINANCIAL, L.P.
August 29, 2017 - November 25, 2019
AQUA SECURITIES L.P.
January 30, 2017 - November 25, 2019
CANTOR FITZGERALD & CO.
January 28, 2015 - January 23, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 2012 - January 15, 2015
BMO CAPITAL MARKETS CORP.
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: 1/2/2023
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 CANADA, LTD.
CRD#: 297706 / SEC#: , 8-70176
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMBC NIKKO SECURITIES AMERICA, INC. | SHAREHOLDER | 28602 |
| ASHBY, SCOTT ALLEN | DIRECTOR | 2883181 |
| BAUSANO, THOMAS BARRY | DIRECTOR | 4009782 |
| KEE, DAVID | CEO, DIRECTOR | 6238539 |
| PARRISH, MICHAEL JOHN | CHIEF COMPLIANCE OFFICER | 5577471 |
| TUN, NATHAN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5551828 |
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.
