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Mika Oh

Smbc Nikko Securities America, Inc.

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About Mika Oh

Mika Oh is a registered representative with Smbc Nikko Securities America, Inc. Mika has been in the securities industry since 2006. Mika holds the Series 7, Series 99TO, and SIE licenses and has previously worked for UBS Securities LLC, UBS Financial Services Inc., and Citigroup Global Markets Inc. Mika is currently registered with FINRA.

Firm Information

Mika Oh 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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Mika Oh’s Registration & Firm History

NY

09/18/2023 - Present

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

NJ

10/15/2014 - 09/26/2022

UBS SECURITIES LLC (WEEHAWKEN NJ)

NJ

07/14/2015 - 02/02/2021

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

10/31/2005 - 10/23/2014

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/29/2005

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 Mika Oh.
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