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Miguel Alejo Roman alvarez

Smbc Nikko Securities America, Inc.

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About Miguel Alejo Roman alvarez

Miguel Alejo Roman alvarez is a financial professional with over 30 years of experience in the industry. Miguel is currently registered with Smbc Nikko Securities America, Inc. in New York, New York. Previously, Miguel was associated with Cowen and Company, RBC Capital Markets, LLC, RBC Capital Markets Corporation, J.P. Morgan Securities Inc., and Chase Securities, Inc. Miguel holds a Series 7, Series 24, Series 63, Series 79TO, and SIE licenses.

Firm Information

Miguel Roman alvarez 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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Miguel Roman alvarez’s Registration & Firm History

NY

04/09/2019 - Present

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

NY

10/27/2017 - 11/09/2018

COWEN AND COMPANY (NEW YORK NY)

NY

02/29/2008 - 09/13/2016

RBC CAPITAL MARKETS, LLC (NEW YORK NY)

NY

07/19/2002 - 02/29/2008

RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)

NY

04/01/1996 - 06/13/2002

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

MD

05/22/1990 - 04/01/1996

CHASE SECURITIES, INC. (NEW YORK MD)

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Licenses & Designations

BC

Issued 06/11/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/21/2003

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/19/1990

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 Miguel Alejo Roman alvarez.
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