Michael John Parrish
Professional Summary
Michael John Parrish, who also goes by Michael J Parrish, is a registered financial advisor 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. Michael is registered as a RR (Registered Representative) and started their career in finance in 2018. Michael has worked at 3 firms and has passed the SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael J Parrish
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
8 years in the financial services industry
Current & Past Employments
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Current Firm
SMBC NIKKO SECURITIES CANADA, LTD.
Contact Information
Main Address
277 Park Avenue, New York, NY 10172Mailing Address
277 Park Avenue, New York, NY 10172Phone Number
(212) 224-5300Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael John Parrish's CRS (Customer Relationship Summary).
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