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Alfred Michael Capra

Smbc Nikko Securities America, Inc.

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About Alfred Michael Capra

Alfred Michael Capra is a financial professional with over 25 years of experience in the securities industry. Alfred is currently registered with Smbc Nikko Securities America, Inc. in New York, NY. Previously, Alfred worked at Mizuho Securities USA LLC, SG Americas Securities, LLC, Oppenheimer & Co. Inc., Putnam Lovell NBF Securities Inc., Keefe, Bruyette & Woods, Inc., Wasserstein Perella Securities, Inc., First Manhattan Co and Salomon Brothers Inc. Alfred holds Series 7, 24, 63, 79, 86, 87 and 99 securities licenses.

Firm Information

Alfred Capra 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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Alfred Capra’s Registration & Firm History

NY

01/08/2024 - Present

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

NY

05/11/2015 - 11/07/2023

MIZUHO SECURITIES USA LLC (NEW YORK NY)

NY

03/30/2006 - 02/25/2015

SG AMERICAS SECURITIES, LLC (NEW YORK NY)

NY

01/05/2004 - 03/15/2006

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

07/20/2000 - 09/30/2003

PUTNAM LOVELL NBF SECURITIES INC. (NEW YORK NY)

NY

05/06/1999 - 03/22/2000

KEEFE, BRUYETTE & WOODS, INC. (NEW YORK NY)

NY

05/04/1998 - 02/19/1999

WASSERSTEIN PERELLA SECURITIES, INC. (NEW YORK NY)

NY

02/05/1996 - 07/26/1996

FIRST MANHATTAN CO (NEW YORK NY)

NY

09/12/1994 - 10/12/1995

SALOMON BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/24/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/28/2001

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/25/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 02/24/2005

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 09/10/1994

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 Alfred Michael Capra.
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