Roselle Sy
Professional summary
Roselle Sy is a registered financial professional currently at SMBC NIKKO SECURITIES AMERICA, INC. located in Jersey City, New Jersey and SMBC NIKKO SECURITIES CANADA, LTD. located in New York, New York.
Roselle is registered as a RR (Registered Representative) and started their career in finance in 2016. Roselle has worked at 2 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roselle Sy's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 31, 2016 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: Harborside Financial Center 2 200 Hudson Street, Suite 402, Jersey City, NJ 07311May 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.
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Exams
Series 99TO
Date: 1/2/2023
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 |
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