ES
Eric M. Stein
SMBC NIKKO SECURITIES AMERICA
New York, NY 10172
Some features on this profile are disabled
CRD#: 3145872
ES
Professional summary
Eric Mark Stein, who also goes by Stein Mark Eric Mark, Eric Mark Stein Jr, is a registered financial professional currently at SMBC NIKKO SECURITIES AMERICA, INC. located in New York, New York.
Eric is registered as a RR (Registered Representative) and started their career in finance in 1999. Eric has worked at 7 firms and has passed the Series 63, Series 79TO, Series 52TO, Series 57TO, Series 99TO, SIE, Series 25, Series 3, Series 55, Series 7, Series 53, Series 27, Series 14, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stein Mark Eric Mark | Eric Mark Stein Jr
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.
CRS (Client Relationship Summary) - BD
Click below to view Eric Mark Stein'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®
NoneExperience
Current
August 18, 2021 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: 277 Park Avenue, New York, NY 10172Office #2: Harborside Financial Center 2 200 Hudson Street, Suite 402, Jersey City, NJ 07311BD
CRD#: 28602
New York, NY
Past
February 15, 2018 - September 23, 2020
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
July 10, 2015 - January 8, 2018
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
October 14, 2008 - July 8, 2015
MONTECITO ADVISORS, INC.
BD
CRD#: 104004
NEW YORK, NY
Past
June 2, 2006 - October 3, 2008
H.C.WAINWRIGHT & CO., LLC
BD
CRD#: 375
NEW YORK, NY
Past
May 23, 2005 - May 31, 2006
ADVANCED EQUITIES SERVICES CORP.
BD
CRD#: 104377
NEW YORK, NY
Past
July 16, 2003 - November 9, 2004
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
January 25, 1999 - June 6, 2003
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
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
New York(8/18/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 4/30/2009
NYSE Trading Assistant ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/7/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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 AMERICA, INC.
SMBC NIKKO SECURITIES AMERICA, INC. | SUMITOMO BANK SECURITIES, INC. | SMBC SECURITIES, INC.
CRD#: 28602 / SEC#: , 8-43852
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
277 Park Avenue Fifth Floor, New York, NY 10172
Mailing Address
277 Park Avenue Fifth Floor, New York, NY 10172
Phone number
(212) 224-5300
Established
Delaware since 08/08/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
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
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.
