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Michael Shiu

Smbc Nikko Securities America, Inc.

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About Michael Shiu

Michael Shiu is a registered representative with Smbc Nikko Securities America, Inc. in Jersey City, NJ. Michael has 2 product exams, the Securities Industry Essentials Examination and Operations Professional Examination.

Firm Information

Michael Shiu 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 Shiu’s Registration & Firm History

NJ

10/31/2022 - Present

Smbc Nikko Securities America, Inc. (Jersey City NJ)

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Licenses & Designations

BC

Issued 10/31/2022

Series 99TO - Operations Professional Examination

BC

Issued 10/10/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael Shiu.
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