DF
Dennis M. Farrell
SMBC NIKKO SECURITIES AMERICA
Charlotte, NC 28202
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CRD#: 4430579
DF
Professional summary
Dennis Michael Farrell JR. is a registered financial professional currently at SMBC NIKKO SECURITIES AMERICA, INC. located in Charlotte, North Carolina.
Dennis is registered as a RR (Registered Representative) and started their career in finance in 2001. Dennis has worked at 3 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Dennis Michael Farrell JR.'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
September 20, 2021 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: 500 East Morehead Street 5th Floor, Charlotte, NC 28202BD
CRD#: 28602
Charlotte, NC
Past
June 12, 2006 - July 19, 2021
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
November 1, 2001 - June 13, 2006
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
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(9/20/2021)
RR
Alaska(9/20/2021)
RR
Arizona(9/20/2021)
RR
Arkansas(2/4/2022)
RR
California(9/20/2021)
RR
Colorado(9/20/2021)
RR
Connecticut(9/20/2021)
RR
Delaware(9/20/2021)
RR
District of Columbia(9/20/2021)
RR
Florida(9/20/2021)
RR
Georgia(9/20/2021)
RR
Hawaii(2/4/2022)
RR
Idaho(9/20/2021)
RR
Illinois(9/20/2021)
RR
Indiana(9/20/2021)
RR
Iowa(9/20/2021)
RR
Kansas(9/20/2021)
RR
Kentucky(2/4/2022)
RR
Louisiana(9/20/2021)
RR
Maine(2/4/2022)
RR
Maryland(9/20/2021)
RR
Massachusetts(9/20/2021)
RR
Michigan(9/20/2021)
RR
Minnesota(9/20/2021)
RR
Mississippi(9/20/2021)
RR
Missouri(9/20/2021)
RR
Montana(2/4/2022)
RR
Nebraska(9/20/2021)
RR
Nevada(9/20/2021)
RR
New Hampshire(9/20/2021)
RR
New Jersey(9/20/2021)
RR
New Mexico(9/20/2021)
RR
New York(9/20/2021)
RR
North Carolina(9/20/2021)
RR
North Dakota(2/4/2022)
RR
Ohio(9/21/2021)
RR
Oklahoma(9/20/2021)
RR
Oregon(9/20/2021)
RR
Pennsylvania(9/20/2021)
RR
Rhode Island(9/20/2021)
RR
South Carolina(9/20/2021)
RR
South Dakota(9/20/2021)
RR
Tennessee(9/20/2021)
RR
Texas(9/20/2021)
RR
Utah(9/20/2021)
RR
Vermont(11/5/2021)
RR
Virginia(9/20/2021)
RR
Washington(9/20/2021)
RR
West Virginia(2/4/2022)
RR
Wisconsin(9/20/2021)
RR
Wyoming(2/4/2022)
Exams
State Security Law Exam
General 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
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.
