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Marc Ross Steinberg

Smbc Nikko Securities America, Inc.

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About Marc Ross Steinberg

Marc Steinberg is a registered representative with Smbc Nikko Securities America, Inc. Marc has been in the securities industry since 2001. Marc has held previous positions at Brownstone Investment Group, LLC, E D & F MAN CAPITAL MARKETS INC., Guggenheim Securities, LLC, Maxim Group LLC, Dinosaur Securities, L.L.C., Lehman Brothers Inc., and Morgan Stanley & Co., Incorporated. Marc holds Series 7, 24, 63, 79, and SIE licenses.

Firm Information

Marc Steinberg 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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Marc Steinberg’s Registration & Firm History

NY

05/19/2022 - Present

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

NY

06/01/2016 - 05/31/2022

BROWNSTONE INVESTMENT GROUP, LLC (NEW YORK NY)

NY

07/31/2015 - 04/04/2016

E D & F MAN CAPITAL MARKETS INC. (NEW YORK NY)

NY

01/11/2010 - 04/21/2015

GUGGENHEIM SECURITIES, LLC (NEW YORK NY)

NY

07/31/2009 - 01/22/2010

MAXIM GROUP LLC (NEW YORK NY)

NY

02/04/2009 - 08/06/2009

DINOSAUR SECURITIES, L.L.C. (NEW YORK NY)

NY

08/03/2006 - 10/09/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

11/10/2000 - 03/30/2006

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/12/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/28/2012

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/09/2011

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 11/09/2000

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 Marc Ross Steinberg.
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