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Efrain Crespo

Smbc Nikko Securities America, Inc.

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About Efrain Crespo

Efrain Crespo is a financial professional with over 20 years of experience in the securities industry. He has a broad background in investment banking, trading, and operations. Efrain is currently registered with Smbc Nikko Securities America, Inc. in New York, NY. He has held previous positions at E D & F MAN CAPITAL MARKETS INC., MUFG SECURITIES AMERICAS INC., Nomura Securities International, Inc., ING BARING FURMAN SELZ LLC, ING BARING (U.S.) SECURITIES, INC., Montgomery Securities, and Nomura Securities International, Inc. Efrain holds Series 7, Series 99 and Series 63 licenses.

Firm Information

Efrain Crespo 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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Efrain Crespo’s Registration & Firm History

NY

02/14/2018 - Present

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

NY

04/05/2017 - 02/09/2018

E D & F MAN CAPITAL MARKETS INC. (NEW YORK NY)

NY

07/02/2012 - 10/03/2016

MUFG SECURITIES AMERICAS INC. (NEW YORK NY)

NY

02/18/1997 - 05/15/2008

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NY

07/01/1998 - 01/19/1999

ING BARING FURMAN SELZ LLC (NEW YORK NY)

NY

02/07/1994 - 07/01/1998

ING BARING (U.S.) SECURITIES, INC. (NEW YORK NY)

CA

08/28/1996 - 01/14/1997

MONTGOMERY SECURITIES (SAN FRANCISCO CA)

NY

02/07/1994 - 08/26/1996

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/29/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/29/2012

Series 99 - Operations Professional Examination

BC

Issued 02/04/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Efrain Crespo.
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