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Chintan Gandhi

Smbc Nikko Securities America, Inc.

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About Chintan Gandhi

Chintan Gandhi is a securities professional with over 17 years of experience in the financial services industry. Currently, Chintan is registered with Smbc Nikko Securities America, Inc. Chintan has previously held positions at HSBC Securities (USA) INC., CITIGROUP GLOBAL MARKETS INC., BNP PARIBAS SECURITIES CORP., COMMERZBANK CAPITAL MARKETS CORP. and RBC DOMINION SECURITIES CORPORATION. Chintan holds the Series 7, Series 7TO, Series 63 and SIE licenses.

Firm Information

Chintan Gandhi 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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Chintan Gandhi’s Registration & Firm History

NY

09/12/2023 - Present

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

NY

10/26/2016 - 05/07/2020

HSBC SECURITIES (USA) INC. (New York NY)

NY

03/10/2006 - 10/20/2016

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

10/05/2004 - 03/15/2006

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

NY

10/01/2003 - 10/04/2004

COMMERZBANK CAPITAL MARKETS CORP. (NEW YORK NY)

NY

03/28/2003 - 10/06/2003

RBC DOMINION SECURITIES CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/14/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/09/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/26/2003

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 Chintan Gandhi.
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