SMBC Nikko Securities America

Description

Address: 277 Park Ave B, New York, NY 10172 Phone: (212) 224-5300: Hours: : : : : : Place name: Category: Website: Website: http://www.smbcnikko-si.com/about-us/who-we-are.html Category: Financial consultant Suggest an editUnable to add this file. Please check that it is a valid photo. Unable to add this file. Please check that it is a valid photo. · Own this business?Add missing informationAdd business hours Unable to add this file. Please check that it is a valid photo. Questions & answers Ask a questionBe the first to ask a question Add a photoThanks for sharing!Your photo will be posted publicly on Google.Contribute MoreDoneUpload public photos of SMBC Nikko Securities America, Inc. Posting publicly on the Web Write a review Reviews 2 Google reviews

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SMBC Nikko Securities America Employees

Employee
Years
Job
Industry
Richard Lembach Richard Lembach Greater New York City Area Details
Richard Lembach's SMBC Nikko Securities America Experience December 2012 - Present
Job Chief Compliance Officer at SMBC Nikko Securities America
Industry Financial Services
Experience
SMBC Nikko Securities America   December 2012 - Present
Mizuho Securities USA Inc.  January 2006 - August 2011
VECTORMEX Incorporated   1993 - 2006
Daiwa Securities America Inc.  1987 - 1993
Prudential-Bache Securities, Inc.   1980 - 1987
National Association of Securities Dealers  1979 - 1980

Skills
AML, FINRA, Financial Regulation, Operational Risk, Trading, Series 7, Securities, Series 24, Series 63, Equities, OFAC, USA PATRIOT Act, KYC, Securities Regulation, Capital Markets, SEC, Anti Money Laundering, Hedge Funds, Fixed Income

Education
University at Albany, SUNY   1977 — 1979
Bachelor of Science, Business and Economics

richard baumann richard baumann New York, New York Details
richard baumann's SMBC Nikko Securities America Experience June 2013 - Present
Job VP Special Products Group at SMBC Nikko Securities
Industry Banking
Experience
SMBC Nikko Securities America   June 2013 - Present
TD Securities USA  September 2009 - April 2013
TD  September 2007 - September 2009
TD  April 2006 - September 2007
UBS Financial Services  June 2004 - April 2006
NASD  June 2001 - February 2004
Brown, Lisle, Cummings, Inc   April 1999 - August 2000
Morgan Stanley Dean Witter  September 1998 - February 1999
Merit Capital and Associates   May 1997 - August 1998

Skills
Compliance, Supervision, Fixed Income, Equity Trading, trading business..., Compliance Monitoring, Broker-Dealer Compliance, Regulatory Examinations, Trading

Education
Salve Regina University   1991 — 1996
Bachelor's degree, English/ Business

Joshua Weeks Joshua Weeks New York, New York Details
Joshua Weeks's SMBC Nikko Securities America Experience December 2012 - September 2013
Job Officer at SMBC Nikko Securities America
Industry Renewables & Environment
Experience
SMBC Nikko Securities America   December 2012 - September 2013
Center for Clean Air Policy  June 2011 - September 2011
Glass, Lewis & Co.   January 2010 - May 2010
Kaikai Kiki Co., Ltd.   August 2004 - June 2008

Skills
Policy Analysis, International Relations, Research, Editing, Economics, Climate Change, Contemporary Art, Project Management, Communication, Translation, Public Policy, Qualitative Research, Political Science, Intercultural..., Politics, Stata, Japanese business..., Japanese, International..., Policy, Foreign Policy

Education
Columbia University - School of International and Public Affairs   2010 — 2012
Master of International Affairs, Energy and Environment

The University of Tokyo   2010 — 2012
Master of Public Policy, International Policy Analysis

Wesleyan University   1999 — 2003
Bachelor of Arts (BA), East Asian Studies

David Ingraldi David Ingraldi Greater New York City Area Details
David Ingraldi's SMBC Nikko Securities America Experience August 2010 - November 2014
Job Private Capital Group
Industry Banking
Experience
Jefferies  December 2014 - Present
SMBC Nikko Securities America   August 2010 - November 2014
SMBC Capital Markets  June 2008 - July 2010
UBS  March 2007 - December 2007

Education
Fordham University - Graduate School of Business Administration   2011 — 2013
MBA

Fordham University - Gabelli School of Business   2005 — 2008
BS, Business Administration with a concentration in Finance

James Madison University   2003 — 2005
Transferred to Fordham University

Kent School   2002 — 2003
High School Degree

Clifton High School   1999 — 2002
High School Degree

Irene Hatzimihalis Irene Hatzimihalis Greater New York City Area Details
Irene Hatzimihalis's SMBC Nikko Securities America Experience October 2011 - Present
Job Vice President at SMBC Nikko Securities America
Industry Capital Markets
Experience
SMBC Nikko Securities America   October 2011 - Present
BMO Capital Markets  April 2005 - July 2009
Unicredito Italiano   July 2002 - December 2004
Blue Financial Communication S.r.l.   December 2001 - July 2002

Skills
Financial Modeling, Private Equity, Investments, Financial Analysis, Capital Markets

Education
New York University   2009 — 2011
NYU Continuing Education Program, Financial Modeling, Valuing a Business, Corp Finance, Venture Capital & PE, Adv Corp Finance

Università degli Studi di Siena   2001 — 2003
Masters in Banking and Finance

Athens University of Economics and Business   1994 — 1999
Bachelor of Science, Economics

Raul Vidal Raul Vidal Greater New York City Area Details
Raul Vidal's SMBC Nikko Securities America Experience March 2011 - July 2014
Job VP Director, DCM / US Private Placements
Industry Financial Services
Experience
Burnham Sterling & Company LLC   June 2015 - Present
SMBC Nikko Securities America   March 2011 - July 2014
Heritage Capital Latin America   June 2010 - March 2011
ING Financial Services LLC  2009 - June 2010
Genworth Financial  March 2008 - December 2008
ING  1995 - 2007

Skills
Capital Markets, Investment Banking, Corporate Finance, Mergers, Due Diligence, Financial Modeling, Investments, Private Placements, Bonds, Finance, High Yield, Series 7, Institutional..., Latin America, Fixed Income, Banking, Bloomberg, Business Development, Business Relationship..., Credit, Credit Analysis, Emerging Markets, Equity Derivatives, Equities, Project Finance, Securities, Restructuring, Valuation, Investment Management, Structured Finance, Mergers & Acquisitions, Derivatives

Education
Carnegie Mellon University - Tepper School of Business   1993 — 1995
MBA, Finance

Universidad Iberoamericana, Ciudad de México   1987 — 1992
BA, Business

Leslie A. Stern Leslie A. Stern United States Details
Leslie A. Stern's SMBC Nikko Securities America Experience April 2013 - Present
Job Vice President, US Control Room at SMBC Nikko Securities America
Industry Financial Services
Experience
SMBC Nikko Securities America   April 2013 - Present
RBC Capital Markets, LLC  September 2011 - August 2012
Sanford C. Bernstein  March 2010 - September 2011
Tigris Financial Group Ltd.   March 2009 - March 2010
Bear Stearns & Co  September 2006 - December 2008
Lehman Brothers  September 2004 - September 2006
Willkie Farr & Gallagher LLP  September 2002 - September 2004

Education
University of Michigan Law School   1999 — 2002

Stony Brook University   1995 — 1997
BA, History, Political Science

Raymond Tao Raymond Tao Greater New York City Area Details
Raymond Tao's SMBC Nikko Securities America Experience January 2013 - April 2015
Job Business Analyst at SMBC Nikko Securities America, Inc.
Industry Financial Services
Experience
SMBC Nikko Securities America, Inc.   April 2015 - October 2015
SMBC Nikko Securities America   January 2013 - April 2015
SMBC Nikko Securities America   July 2011 - January 2013
Bedessee Imports, Inc.   August 2010 - June 2011
Exquisite West, Inc.   July 2005 - July 2010

Skills
VBA, Microsoft Excel, Equities, Fixed Income, Cash Management, Cash Flow Forecasting, Business Analysis, Financial Reporting, Cash Flow Management, Auditing, Financial Analysis, Securities, JavaScript, SQL, Bank Reconciliation, Bloomberg, Account Reconciliation, NetX360, Java, ISTAR, Visio, Capital Markets, Microsoft Word, Microsoft Office, Management, PowerPoint, SharePoint

Education
Queens College
Bachelor's Degree, Economics

Roger Kao Roger Kao Greater New York City Area Details
Roger Kao's SMBC Nikko Securities America Experience February 2011 - Present
Job Officer at SMBC Nikko Securities America
Industry Financial Services
Experience
SMBC Nikko Securities America   February 2011 - Present
Life Time Fitness  April 2010 - December 2013
Metropolitan Life Insurance Company  October 2010 - December 2010
Prudential Financial  August 2007 - June 2009

Skills
Microsoft Excel, Microsoft Office, PowerPoint, Bloomberg, Social Media Marketing, Project Management, Sales, Mandarin, Cooking, Sports, Tennis, Basketball, Financial Reporting, Portfolio Management, Investments, Financial Analysis, Capital Markets, Equities

Education
University of Massachusetts, Amherst   2003 — 2007
BA, Economics, Information Technology, Chinese

New Jersey Institute of Technology - School of Management
Graduate, Finance

LHS

Nino Sena Nino Sena Greater New York City Area Details
Nino Sena's SMBC Nikko Securities America Experience December 2010 - April 2013
Job Director/Senior Compliance Officer at Oppenheimer & Co. Inc.
Industry Financial Services
Experience
Oppenheimer & Co. Inc.   February 2014 - Present
SMBC Nikko Securities America   December 2010 - April 2013
Leumi Investment Services Inc.   May 2009 - May 2010
Bank Leumi  May 2009 - May 2010
SGC INSTITUTIONAL   March 2006 - February 2009
Financial Industry Regulatory Authority  December 1999 - December 2003

Skills
Securities, Equity Research, Investment Banking, FINRA, AML

Education
City University of New York-John Jay College of Criminal Justice   1994 — 1997
Bachelor of Science in Criminal Justice

Wagner College
MBA, Finance

Dave (Dong) Sohn, CFA Dave (Dong) Sohn, CFA Greater New York City Area Details
Dave (Dong) Sohn, CFA's SMBC Nikko Securities America Experience December 2012 - Present
Job VP at SMBC Nikko Securities America
Industry Financial Services
Experience
SMBC Nikko Securities America   December 2012 - Present
FURTHER LANE (ASSET MANAGEMENT/SECURITIES)   August 2009 - December 2012
J.P.MORGAN/BEAR STEARNS CO., INC.   March 2006 - August 2009
NATEXIS BANQUES POPULAIRES  February 2004 - March 2006
DEUTSCHE BANK  June 2003 - February 2004
KEEFE, BRUYETTE & WOODS, INC.   June 1998 - May 2003
DREYFUS CORPORATION  April 1997 - June 1998

Skills
Fixed Income, Bloomberg, Hedge Funds, Financial Analysis, Bonds, Securities, Valuation, Capital Markets, Asset Managment, Derivatives, Equities, Series 7, Series 63, series 27, Alternative Investments, Asset Management, Portfolio Management

Education
Baruch College   2000 — 2002
Master of Science (MS), Computer Information System

Penn State University   1991 — 1996
Bachelor of Science (BS), Accounting

Janet Eriksson Janet Eriksson Dahlonega, Georgia Details
Janet Eriksson's SMBC Nikko Securities America Experience May 1990 - August 1994
Job Missionary of Prayer
Industry Religious Institutions
Experience
Finally Free Ministry / Amazing Prayer Adventure   July 2010 - Present
CrickettWorks / CrickettBooks   January 2003 - January 2015
Eagle Ranch  August 2008 - June 2010
Deutsche Bank  January 2000 - January 2003
Beecher Investment Management   May 1999 - January 2000
Civic Education Project  August 1997 - June 1999
University of Pennsylvania  August 1995 - June 1997
American Re-Insurance Company  June 1994 - August 1995
SMBC Nikko Securities America   May 1990 - August 1994
Uppercrust Productions  September 1987 - January 1988

Skills
Teaching, Community Outreach, Blogger, Public Speaking, Spiritual Warfare, Mission Work, Christian Leadership, Youth Mentoring, Team Building, Team Mentoring, Volunteer Training, Volunteering, Creative Writing, Curriculum Development, Curriculum Design, Curriculum Innovation, Spiritual Teacher, Spiritual Counselor, Spiritual Direction, Spiritual Gifts, Spiritual Leadership, Executive Support, Compassion, International Human..., Human Rights, Humanitarian Assistance, Community Engagement, Academic Tutoring, Church Events, Text Editing, Proofreading, Resume Writing, Research, Strategic Planning

Education
Asbury Theological Seminary   2010 — 2020
Master of Divinity (M.Div.)

University of Pennsylvania   1994 — 2004
Political Science and Government

Boston University   1988 — 1989
Master of Arts (M.A.), International Relations and Affairs

University of Florida   1984 — 1988
Bachelor of Arts (B.A.), Political Science and Government

Jerome Hayes Jerome Hayes Dallas/Fort Worth Area Details
Jerome Hayes's SMBC Nikko Securities America Experience 1991 - 1994
Job FIX Onboarding Engineer
Industry Computer Software
Experience
REDI Global Technologies  January 2015 - Present
Trading Technologies  March 2010 - January 2015
Trading Technologies  March 2006 - March 2010
Rolfe & Nolan  January 2004 - March 2006
Rolfe and Nolan   March 2001 - January 2004
Barclays Capital  April 1998 - January 2001
Credit Agricole  1994 - 1996
Index Futures Group  1994 - 1994
SMBC Nikko Securities America   1991 - 1994

Skills
Equity Trading, Trading Systems, FX Options, Electronic Trading, Technical Analysis, SDLC, Back Office, Options, Derivatives, Financial Markets, Equity Derivatives, Market Data, Exchange Connectivity, Low Latency, Trading, Fixed Income, Commodity, Equities, Middle Office, Trading Strategies, Hedge Funds, FX trading, Trading System, Bloomberg, Commodity Markets, Foreign Exchange, Interest Rate..., Swaps, Bonds, Prime Brokerage

Education
DePaul University   1990 — 1993
Bachelor, Finance

Norman Ng Norman Ng Greater New York City Area Details
Norman Ng's SMBC Nikko Securities America Experience 1996 - 1998
Job Owner, Evergreen Global Realty
Industry Real Estate
Experience
Evergreen Global Realty   April 2011 - Present
Citi  2005 - 2010
Morgan Stanley Smith Barney  2004 - 2005
Merrill Lynch  1998 - 2004
SMBC Nikko Securities America   1996 - 1998

Education
New York University

Yukimi Konno Yukimi Konno New York, New York Details
Yukimi Konno's SMBC Nikko Securities America Experience
Job Executive Vice President at SMBC Nikko Securities America
Industry Investment Banking
Experience
SMBC Nikko Securities America  

Skills
Equities

Education
NYU Robert F. Wagner Graduate School of Public Service