AR
Anthony R. Ruffino
SMBC NIKKO SECURITIES AMERICA
New York, NY 10172
Some features on this profile are disabled
CRD#: 5229479
AR
Professional summary
Anthony Rosario Ruffino is a registered financial professional currently at SMBC NIKKO SECURITIES AMERICA, INC. located in New York, New York and SMBC NIKKO SECURITIES CANADA, LTD. located in New York, New York.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 2007. Anthony has worked at 3 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7 and Series 53 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 Anthony Rosario Ruffino'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
December 2, 2014 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: 277 Park Avenue, New York, NY 10172BD
CRD#: 28602
New York, NY
Current
October 22, 2019 - Present
SMBC NIKKO SECURITIES CANADA, LTD.
Office #1: 277 Park Avenue, New York, NY 10172BD
CRD#: 297706
New York, NY
Past
December 18, 2007 - February 4, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
BD
CRD#: 190
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(3/1/2021)
RR
Alaska(3/1/2021)
RR
Arizona(3/1/2021)
RR
Arkansas(3/1/2021)
RR
California(7/8/2019)
RR
Colorado(3/1/2021)
RR
Connecticut(3/1/2021)
RR
Delaware(3/1/2021)
RR
District of Columbia(3/1/2021)
RR
Florida(4/6/2015)
RR
Georgia(3/1/2021)
RR
Hawaii(3/1/2021)
RR
Idaho(4/28/2022)
RR
Illinois(4/6/2015)
RR
Indiana(3/1/2021)
RR
Iowa(3/1/2021)
RR
Kansas(3/1/2021)
RR
Kentucky(3/1/2021)
RR
Louisiana(1/6/2015)
RR
Maine(3/1/2021)
RR
Maryland(3/1/2021)
RR
Massachusetts(4/27/2017)
RR
Michigan(3/1/2021)
RR
Minnesota(3/1/2021)
RR
Mississippi(3/1/2021)
RR
Missouri(3/1/2021)
RR
Montana(4/28/2022)
RR
Nebraska(4/28/2022)
RR
Nevada(4/6/2015)
RR
New Hampshire(3/1/2021)
RR
New Jersey(3/1/2021)
RR
New Mexico(4/28/2022)
RR
New York(12/2/2014)
RR
North Carolina(3/1/2021)
RR
North Dakota(4/28/2022)
RR
Ohio(7/8/2019)
RR
Oklahoma(3/1/2021)
RR
Oregon(3/1/2021)
RR
Pennsylvania(3/1/2021)
RR
Rhode Island(3/1/2021)
RR
South Carolina(4/28/2022)
RR
South Dakota(3/1/2021)
RR
Tennessee(3/1/2021)
RR
Texas(1/6/2015)
RR
Utah(3/1/2021)
RR
Vermont(4/28/2022)
RR
Virginia(7/8/2019)
RR
Washington(3/1/2021)
RR
West Virginia(3/1/2021)
RR
Wisconsin(3/1/2021)
RR
Wyoming(4/28/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative 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 CANADA, LTD.
SMBC NIKKO SECURITIES CANADA, LTD.
CRD#: 297706 / SEC#: , 8-70176
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
277 Park Avenue, New York, NY 10172
Mailing Address
277 Park Avenue, New York, NY 10172
Phone number
(212) 224-5300
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
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.
