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George B. Elsener

Smbc Nikko Securities America, Inc.

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About George B. Elsener

George B. Elsener is a financial professional with over 20 years of experience in the industry. George is currently registered with Smbc Nikko Securities America, Inc. Prior to joining Smbc Nikko, George worked at KeyBanc Capital Markets Inc. , Loop Capital Markets LLC, ABN AMRO Incorporated, and LaSalle Financial Services, Inc. George holds a Series 7, Series 24, Series 52TO, and Series 79TO. George is registered in 51 states.

Firm Information

George Elsener 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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George Elsener’s Registration & Firm History

NY

05/22/2018 - Present

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

IL

06/13/2011 - 05/04/2018

KEYBANC CAPITAL MARKETS INC. (CHICAGO IL)

IL

06/25/2009 - 06/01/2011

LOOP CAPITAL MARKETS LLC (CHICAGO IL)

CT

09/26/2007 - 04/21/2008

ABN AMRO INCORPORATED (STAMFORD CT)

IL

10/03/2005 - 10/01/2007

LASALLE FINANCIAL SERVICES, INC. (CHICAGO IL)

CT

06/14/2006 - 05/02/2007

ABN AMRO INCORPORATED (STAMFORD CT)

CT

07/19/2004 - 10/04/2005

ABN AMRO INCORPORATED (STAMFORD CT)

IL

04/10/2000 - 07/07/2004

BANC ONE CAPITAL MARKETS, INC. (CHICAGO IL)

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Licenses & Designations

BC

Issued 07/19/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/25/2003

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/08/2000

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 George B. Elsener.
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