Loren L. Peterkin-franklin
Professional summary
Loren L Peterkin-franklin, who also goes by Loren L Franklin, Loren L Peterkin, Loren Peterkin-franklin, is a registered financial professional currently at SMBC NIKKO SECURITIES AMERICA, INC. located in White Plains, New York and SMBC NIKKO SECURITIES CANADA, LTD. located in New York, New York.
Loren is registered as a RR (Registered Representative) and started their career in finance in 2024. Loren has worked at 2 firms and has passed the SIE and Series 99TO exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Loren L Peterkin-franklin's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 24, 2024 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: 1 North Lexington Avenue, White Plains, NY 10601May 14, 2026 - Present
SMBC NIKKO SECURITIES CANADA, LTD.
Office #1: 277 Park Avenue, New York, NY 10172State 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: 1/16/2024
Operations Professional ExaminationFINRA
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
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