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Frantisek Kovac

Smbc Nikko Securities America, Inc.

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About Frantisek Kovac

Frantisek Kovac is a financial professional with over 20 years of experience in the securities industry. Frantisek is currently registered with Smbc Nikko Securities America, Inc. in New York, NY. Previously, Frantisek has held positions at MUFG Securities Americas Inc., Maxim Group LLC, AXA Advisors, LLC, Deutsche Bank Securities Inc. and Trillium Trading LLC. Frantisek holds a variety of licenses and certifications, including Series 7, Series 24, Series 55, Series 57TO, and Series 63. Frantisek is also a registered Investment Advisor in the state of New York.

Firm Information

Frantisek Kovac 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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Frantisek Kovac’s Registration & Firm History

NY

04/29/2024 - Present

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

NY

06/03/2013 - 04/12/2024

MUFG SECURITIES AMERICAS INC. (NEW YORK NY)

NY

02/09/2010 - 05/15/2013

MAXIM GROUP LLC (NEW YORK NY)

NJ

09/10/2009 - 12/23/2009

AXA ADVISORS, LLC (EDISON NJ)

NY

05/27/2005 - 01/29/2009

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

06/04/2003 - 07/03/2003

TRILLIUM TRADING LLC (NEW YORK NY)

NJ

06/28/2000 - 06/09/2003

HEARTLAND SECURITIES CORP. (EDISON NJ)

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Licenses & Designations

IA

Issued 09/23/2009

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/14/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/30/2018

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/24/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/27/2000

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 Frantisek Kovac.
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