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Gareth Hughes

Smbc Nikko Securities America, Inc.

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About Gareth Hughes

Gareth Hughes is a securities professional with over 17 years of experience in the financial industry. Gareth is currently a registered representative with Smbc Nikko Securities America, Inc. located in New York, NY. Prior to joining Smbc Nikko Securities America, Inc., Gareth was a registered representative with UBS Securities LLC and SG Americas Securities, LLC in New York, NY and Barclays Capital Inc. in Boston, MA. Gareth holds a variety of licenses including Series 3, 4, 7, 17, 24, 52, 55, 57, and 63.

Firm Information

Gareth Hughes 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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Gareth Hughes’s Registration & Firm History

NY

06/14/2023 - Present

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

NY

07/29/2022 - 04/21/2023

UBS SECURITIES LLC (NEW YORK NY)

NY

10/09/2020 - 07/27/2022

SG AMERICAS SECURITIES, LLC (NEW YORK NY)

NY

07/22/2009 - 08/28/2019

SG AMERICAS SECURITIES, LLC (NEW YORK NY)

MA

12/03/2004 - 12/16/2008

BARCLAYS CAPITAL INC. (BOSTON MA)

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Licenses & Designations

BC

Issued 09/12/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/19/2018

Series 4 - Registered Options Principal Examination

BC

Issued 04/26/2016

Series 24 - General Securities Principal Examination

BC

Issued 06/14/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/18/2015

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 12/29/2012

Series 3 - National Commodity Futures Examination

BC

Issued 07/21/2009

Series 7 - General Securities Representative Examination

BC

Issued 12/02/2004

Series 17 - Limited Registered 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 Gareth Hughes.
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