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Alberto Jesus Carreno

Smbc Nikko Securities America, Inc.

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About Alberto Jesus Carreno

Alberto Jesus Carreno is a securities professional with over 15 years of experience in the financial industry. He is currently registered with Smbc Nikko Securities America, Inc. and is licensed to conduct business in all 50 states. Alberto's experience includes working at leading financial institutions such as Deutsche Bank Securities Inc., MUFG Securities Americas Inc., BTMU Securities, Inc., BBVA Securities Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and J.P. Morgan Securities Inc. He holds the Series 7, Series 63, SIE, and Series 79TO licenses.

Firm Information

Alberto Carreno is currently registered with Smbc Nikko Securities America, Inc.. Smbc Nikko Securities America, Inc. is a Corporation registered in the United States and has been in operation since August 8, 1990. The firm has a presence in all 50 states and the District of Columbia, with a total of 52 state registrations. Smbc Nikko Securities America, Inc. has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

313

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Alberto Carreno’s Registration & Firm History

NY

07/27/2021 - Present

Smbc Nikko Securities America, Inc. (NEW YORK NY)

NY

10/09/2018 - 05/05/2021

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

04/01/2017 - 10/10/2018

MUFG SECURITIES AMERICAS INC. (NEW YORK NY)

NY

07/14/2014 - 04/01/2017

BTMU SECURITIES, INC. (NEW YORK NY)

NY

08/10/2010 - 04/01/2013

BBVA SECURITIES INC. (NEW YORK NY)

NY

10/12/2007 - 07/02/2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

TX

06/14/2006 - 04/17/2007

CREDIT SUISSE SECURITIES (USA) LLC (HOUSTON TX)

NY

11/30/2004 - 06/02/2006

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/03/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/29/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

N

NYSE Arca, Inc.

Disclosures

There are no public disclosures for Alberto Jesus Carreno.
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