Hiroyuki Iso
Professional summary
Hiroyuki Iso, who also goes by Iso Hiroyuki, 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.
Hiroyuki is registered as a RR (Registered Representative) and started their career in finance in 2026. Hiroyuki has worked at 2 firms and has passed the Series 99TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Hiroyuki Iso's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 28, 2026 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: 277 Park Avenue, New York, NY 10172April 28, 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: 3/27/2026
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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