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Christopher Ralph Castelli

Smbc Nikko Securities America, Inc.

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About Christopher Ralph Castelli

Christopher Castelli is a financial advisor with Smbc Nikko Securities America, Inc. located in New York, NY. Christopher has been in the financial services industry since 2006. Christopher has experience at a variety of financial firms, including Citigroup Global Markets Inc., Stifel, Nicolaus & Company, Incorporated, and Barclays Capital Inc. Christopher is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, Series 24, and Series 63 licenses. Christopher's experience and credentials allow him to provide comprehensive financial services to individuals and families.

Firm Information

Christopher Castelli 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 Castelli’s Registration & Firm History

NY

08/30/2023 - Present

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

NY

05/19/2022 - 08/21/2023

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

04/15/2020 - 05/16/2022

STIFEL, NICOLAUS & COMPANY, INCORPORATED (NEW YORK NY)

NY

02/11/2013 - 04/01/2020

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

10/07/2009 - 11/21/2012

UBS SECURITIES LLC (NEW YORK NY)

NJ

10/09/2008 - 09/14/2009

ICAP CORPORATES LLC (JERSEY CITY NJ)

NY

06/03/2005 - 06/10/2008

BEAR, STEARNS & CO. INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/27/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/06/2018

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/02/2005

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 Ralph Castelli.
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