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FIRM PROFILE
Overview
SMBC NIKKO SECURITIES CANADA, LTD. is located at 277 Park Avenue, New York, NY 10172. SMBC NIKKO SECURITIES CANADA, LTD. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of SMBC NIKKO SECURITIES CANADA, LTD.’s clients are individuals and 0% of their clients are high net worth individuals. SMBC NIKKO SECURITIES CANADA, LTD. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at SMBC NIKKO SECURITIES CANADA, LTD. are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access SMBC NIKKO SECURITIES CANADA, LTD.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at SMBC NIKKO SECURITIES CANADA, LTD.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for SMBC NIKKO SECURITIES CANADA, LTD. Comes From
Understanding the Statistics for SMBC NIKKO SECURITIES CANADA, LTD. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
277 Park Avenue, New York, NY 10172
277 Park Avenue, New York, NY 10172
Small
(212) 224-5300
since 06/01/2018
Corporation
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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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Advisor's working at SMBC NIKKO SECURITIES CANADA, LTD.
Salvatore Matthew Trovato
Lauren A Ruffo
Anthony Rosario Ruffino
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