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Christopher James Evans

Smbc Nikko Securities America, Inc.

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About Christopher James Evans

Christopher Evans is a securities professional with over 17 years of experience in the financial services industry. Christopher is currently registered with Smbc Nikko Securities America, Inc. and holds multiple securities licenses including Series 7, 55, 57, 79, 99, and SIE. Christopher has a strong background in investment banking and has a deep understanding of the financial markets. Christopher is committed to providing his clients with the highest quality service and is dedicated to helping them achieve their financial goals.

Firm Information

Christopher Evans 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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Christopher Evans’s Registration & Firm History

NC

09/20/2021 - Present

Smbc Nikko Securities America, Inc. (Charlotte NC)

NC

11/02/2004 - 07/19/2021

WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)

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Licenses & Designations

BC

Issued 11/13/2004

Series 63 - Uniform Securities Agent State Law 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 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/11/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/01/2004

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 Christopher James Evans.
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