Brett R. Clark
Professional summary
Brett R Clark 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.
Brett is registered as a RR (Registered Representative) and started their career in finance in 2019. Brett has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brett R Clark's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 4, 2019 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: 277 Park Avenue, New York, NY 10172May 1, 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
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Exams
Series 79TO
Date: 9/4/2019
Investment Banking Registered Representative 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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