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Daniel Adam Brierley

Smbc Nikko Securities America, Inc.

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About Daniel Adam Brierley

Daniel Brierley is a financial advisor with Smbc Nikko Securities America, Inc. Daniel has been in the industry since 2000 and is registered in 51 states. Daniel has extensive experience with a variety of financial services, including securities and commodities. Daniel has passed the Series 3, Series 7, Series 24, Series 57TO, and SIE exams. Daniel is also registered with FINRA.

Firm Information

Daniel Brierley 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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Daniel Brierley’s Registration & Firm History

NY

03/30/2022 - Present

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

NY

03/05/2019 - 08/23/2021

MUFG SECURITIES AMERICAS INC. (NEW YORK NY)

NY

08/29/2017 - 11/08/2018

UBS SECURITIES LLC (NEW YORK NY)

NY

04/25/2011 - 07/07/2017

JEFFERIES LLC (NEW YORK NY)

NY

10/16/2000 - 05/10/2011

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NJ

08/26/1999 - 10/16/2000

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 02/28/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/25/2013

Series 24 - General Securities Principal Examination

BC

Issued 06/22/2023

Series 3 - National Commodity Futures Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/25/1999

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 Daniel Adam Brierley.
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