CN
Christopher J. Nieves
SMBC NIKKO SECURITIES AMERICA
New York, NY 10172
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CRD#: 5678219
CN
Professional summary
Christopher John Nieves 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.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2015. Christopher has worked at 2 firms and has passed the Series 63, SIE and Series 79 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 Christopher John Nieves'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
February 23, 2015 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: 277 Park Avenue, New York, NY 10172BD
CRD#: 28602
New York, NY
Current
April 12, 2019 - Present
SMBC NIKKO SECURITIES CANADA, LTD.
Office #1: 277 Park Avenue, New York, NY 10172BD
CRD#: 297706
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(9/2/2015)
RR
Arkansas(3/1/2021)
RR
California(9/2/2015)
RR
Colorado(9/2/2015)
RR
Connecticut(9/2/2015)
RR
Delaware(3/1/2021)
RR
District of Columbia(9/2/2015)
RR
Florida(9/2/2015)
RR
Georgia(3/1/2021)
RR
Hawaii(3/1/2021)
RR
Idaho(2/9/2022)
RR
Illinois(9/2/2015)
RR
Indiana(3/1/2021)
RR
Iowa(3/1/2021)
RR
Kansas(3/1/2021)
RR
Kentucky(3/1/2021)
RR
Louisiana(9/2/2015)
RR
Maine(3/1/2021)
RR
Maryland(3/1/2021)
RR
Massachusetts(9/2/2015)
RR
Michigan(9/2/2015)
RR
Minnesota(9/2/2015)
RR
Mississippi(3/1/2021)
RR
Missouri(3/1/2021)
RR
Montana(2/9/2022)
RR
Nebraska(2/9/2022)
RR
Nevada(9/2/2015)
RR
New Hampshire(3/1/2021)
RR
New Jersey(3/1/2021)
RR
New Mexico(2/9/2022)
RR
New York(8/28/2015)
RR
North Carolina(12/13/2020)
RR
North Dakota(2/9/2022)
RR
Ohio(9/2/2015)
RR
Oklahoma(9/2/2015)
RR
Oregon(3/1/2021)
RR
Pennsylvania(9/2/2015)
RR
Rhode Island(3/1/2021)
RR
South Carolina(2/9/2022)
RR
South Dakota(3/1/2021)
RR
Tennessee(9/2/2015)
RR
Texas(9/2/2015)
RR
Utah(3/1/2021)
RR
Vermont(2/9/2022)
RR
Virginia(3/1/2021)
RR
Washington(9/2/2015)
RR
West Virginia(3/1/2021)
RR
Wisconsin(3/1/2021)
RR
Wyoming(2/9/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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
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