LS
Lisa M. Saski
SMBC NIKKO SECURITIES AMERICA
New York, NY 10172
Some features on this profile are disabled
CRD#: 4281935
LS
Professional summary
Lisa Marie Saski, who also goes by Lisa Saski, is a registered financial professional currently at SMBC NIKKO SECURITIES AMERICA, INC. located in New York, New York.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 2000. Lisa has worked at 11 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lisa Saski
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 Lisa Marie Saski'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
May 6, 2025 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: 277 Park Avenue, New York, NY 10172BD
CRD#: 28602
New York, NY
Past
December 6, 2019 - January 20, 2021
TUDOR PICKERING HOLT & CO ADVISORS LP
BD
CRD#: 158253
NEW YORK, NY
Past
December 6, 2019 - October 13, 2023
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
BD
CRD#: 129772
NEW YORK, NY
Past
December 6, 2019 - October 13, 2023
PERELLA WEINBERG PARTNERS LP
BD
CRD#: 138618
NEW YORK, NY
Past
September 15, 2015 - December 5, 2019
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
NEW YORK, NY
Past
January 28, 2010 - September 21, 2015
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
September 22, 2008 - December 10, 2009
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
April 25, 2005 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
October 20, 2003 - April 29, 2005
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
December 16, 2002 - August 11, 2003
FHN FINANCIAL SECURITIES CORP.
BD
CRD#: 46346
MEMPHIS, TN
Past
December 12, 2000 - October 14, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Alabama(5/6/2025)
RR
Alaska(5/6/2025)
RR
Arizona(5/6/2025)
RR
Arkansas(5/6/2025)
RR
California(5/6/2025)
RR
Colorado(5/6/2025)
RR
Connecticut(5/6/2025)
RR
Delaware(5/6/2025)
RR
District of Columbia(5/6/2025)
RR
Florida(5/6/2025)
RR
Georgia(5/6/2025)
RR
Hawaii(5/6/2025)
RR
Idaho(5/6/2025)
RR
Illinois(5/6/2025)
RR
Indiana(5/6/2025)
RR
Iowa(5/6/2025)
RR
Kansas(5/6/2025)
RR
Kentucky(5/6/2025)
RR
Louisiana(5/6/2025)
RR
Maine(5/6/2025)
RR
Maryland(5/6/2025)
RR
Massachusetts(5/6/2025)
RR
Michigan(5/6/2025)
RR
Minnesota(5/6/2025)
RR
Mississippi(5/6/2025)
RR
Missouri(5/6/2025)
RR
Montana(5/6/2025)
RR
Nebraska(5/6/2025)
RR
Nevada(5/6/2025)
RR
New Hampshire(5/6/2025)
RR
New Jersey(5/6/2025)
RR
New Mexico(5/6/2025)
RR
New York(5/6/2025)
RR
North Carolina(5/6/2025)
RR
North Dakota(5/6/2025)
RR
Ohio(5/7/2025)
RR
Oklahoma(5/6/2025)
RR
Oregon(5/6/2025)
RR
Pennsylvania(5/6/2025)
RR
Rhode Island(5/6/2025)
RR
South Carolina(5/6/2025)
RR
South Dakota(5/6/2025)
RR
Tennessee(5/6/2025)
RR
Texas(5/6/2025)
RR
Utah(5/6/2025)
RR
Vermont(5/6/2025)
RR
Virginia(5/6/2025)
RR
Washington(5/6/2025)
RR
West Virginia(5/6/2025)
RR
Wisconsin(5/6/2025)
RR
Wyoming(5/6/2025)
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 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
