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Jeffrey Louis Brandt

Smbc Nikko Securities America, Inc.

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About Jeffrey Louis Brandt

Jeffrey Louis Brandt is a securities professional with over 10 years of experience in the financial services industry. Jeffrey is currently registered with Smbc Nikko Securities America, Inc. and is located in New York, NY. Prior to joining Smbc Nikko Securities America, Inc., Jeffrey worked at UnionBanc Investment Services, LLC, Intrepid Investment Bankers LLC, MUFG Securities Americas Inc., MUFG Americas Corporate Advisory, Inc., and Lek Securities Corporation. Jeffrey holds the Series 63, Series 24, SIE, and Series 7 licenses.

Firm Information

Jeffrey Brandt 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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Jeffrey Brandt’s Registration & Firm History

NY

03/23/2023 - Present

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

CA

07/15/2021 - 10/24/2022

UNIONBANC INVESTMENT SERVICES, LLC (GLENDALE CA)

CA

03/10/2020 - 08/23/2022

INTREPID INVESTMENT BANKERS LLC (LOS ANGELES CA)

NY

01/29/2015 - 08/23/2022

MUFG SECURITIES AMERICAS INC. (NEW YORK NY)

NY

10/24/2018 - 02/24/2020

MUFG AMERICAS CORPORATE ADVISORY, INC. (NEW YORK NY)

NY

05/17/2013 - 01/02/2015

LEK SECURITIES CORPORATION (NEW CITY NY)

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Licenses & Designations

BC

Issued 07/11/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/24/2013

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/16/2013

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 Jeffrey Louis Brandt.
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