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Michael P Lalicata

Smbc Nikko Securities America, Inc.

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About Michael P Lalicata

Michael Lalicata is a financial professional with over 10 years of experience in the financial services industry. Michael is currently registered with Smbc Nikko Securities America, Inc. and is based in White Plains, New York. Michael has held previous positions at HSBC Securities (USA) Inc., Barclays Capital Inc., UBS Financial Services Inc., and Wachovia Securities, LLC. Michael holds FINRA Series 7, 9, 10, 24, 66 and SIE licenses. Michael is also registered in New York.

Firm Information

Michael Lalicata 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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Michael Lalicata’s Registration & Firm History

NY

08/17/2022 - Present

Smbc Nikko Securities America, Inc. (White Plains NY)

NY

09/26/2018 - 03/25/2022

HSBC SECURITIES (USA) INC. (NEW YORK NY)

NY

06/04/2014 - 10/20/2016

BARCLAYS CAPITAL INC. (NEW YORK NY)

NJ

10/21/2008 - 07/03/2012

UBS FINANCIAL SERVICES INC. (JERSEY CITY NJ)

NY

10/30/2007 - 10/20/2008

WACHOVIA SECURITIES, LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 06/20/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/23/2019

Series 24 - General Securities Principal Examination

BC

Issued 07/29/2011

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/09/2011

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/02/2007

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 Michael P Lalicata.
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