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Arthur Mark Rubin

Smbc Nikko Securities America, Inc.

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About Arthur Mark Rubin

Arthur Rubin is a financial professional with over 25 years of experience in the securities industry. Arthur has a broad background in investment banking and securities trading. Arthur is currently registered with Smbc Nikko Securities America, Inc. where Arthur has been employed since 2016. Arthur is also a registered principal with FINRA. Prior to joining Smbc Nikko, Arthur was employed with Nomura Securities International, Inc., ING Financial Markets LLC, Atlas One Financial Group, LLC, Morgan Stanley & Co. Incorporated, ABN AMRO Incorporated and Goldman, Sachs & Co. Arthur holds the Series 7, 24, 63, and 79TO licenses.

Firm Information

Arthur Rubin 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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Arthur Rubin’s Registration & Firm History

NY

02/16/2016 - Present

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

NY

04/23/2012 - 02/24/2016

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NY

12/01/2010 - 12/23/2011

ING FINANCIAL MARKETS LLC (NEW YORK NY)

NY

06/18/2009 - 11/30/2010

ATLAS ONE FINANCIAL GROUP, LLC (NEW YORK NY)

NY

03/18/2005 - 02/13/2009

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

CT

10/10/2002 - 03/17/2005

ABN AMRO INCORPORATED (STAMFORD CT)

NY

08/02/1999 - 04/02/2002

GOLDMAN, SACHS & CO. (NEW YORK NY)

MD

03/01/1995 - 08/28/1999

BT ALEX. BROWN INCORPORATED (BALTIMORE MD)

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Licenses & Designations

BC

Issued 03/14/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/12/2010

Series 24 - General Securities Principal 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 02/17/1995

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 Arthur Mark Rubin.
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