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Julian Guillermo Rios

Smbc Nikko Securities America, Inc.

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About Julian Guillermo Rios

Julian Guillermo Rios is a registered representative with Smbc Nikko Securities America, Inc. located in NEW YORK, NY. Julian has been working in the securities industry since 2010. Julian is licensed to sell securities in 51 states and the District of Columbia. Julian holds FINRA Series 7 and SIE licenses, as well as the Series 63 license. Julian previously worked at Stifel, Nicolaus & Company, Incorporated, Nomura Securities International, Inc., UBS Securities LLC, BNP Paribas Securities Corp., and Deutsche Bank Securities Inc.

Firm Information

Julian Rios 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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Julian Rios’s Registration & Firm History

NY

12/26/2023 - Present

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

NY

10/24/2022 - 12/13/2023

STIFEL, NICOLAUS & COMPANY, INCORPORATED (NEW YORK NY)

NY

10/25/2016 - 06/10/2022

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NY

10/23/2013 - 09/15/2016

UBS SECURITIES LLC (NEW YORK NY)

NY

09/27/2012 - 09/04/2013

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

NY

06/24/2010 - 07/03/2012

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

03/14/2003 - 06/07/2004

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/13/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/23/2010

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 Julian Guillermo Rios.
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