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Mustafa Suber Topiwalla

Smbc Nikko Securities America, Inc.

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About Mustafa Suber Topiwalla

Mustafa Suber Topiwalla is a financial professional with over 24 years of experience in the securities industry. Mustafa is currently registered with Smbc Nikko Securities America, Inc. Prior to joining Smbc Nikko Securities America, Inc., Mustafa was employed by RBC CAPITAL MARKETS, LLC, RBC CAPITAL MARKETS CORPORATION, SG AMERICAS SECURITIES, LLC, SG COWEN SECURITIES CORPORATION, SALOMON SMITH BARNEY INC., and CITICORP SECURITIES, INC. Mustafa holds Series 7, Series 63, Series 79TO, Series 24, and SIE licenses. Mustafa has a strong track record of providing financial advice to individuals and institutions.

Firm Information

Mustafa Topiwalla 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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Mustafa Topiwalla’s Registration & Firm History

NY

12/01/2022 - Present

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

NY

02/29/2008 - 08/31/2022

RBC CAPITAL MARKETS, LLC (NEW YORK NY)

NY

08/14/2007 - 02/29/2008

RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)

NY

04/26/2004 - 08/14/2007

SG AMERICAS SECURITIES, LLC (NEW YORK NY)

NY

07/13/2000 - 04/26/2004

SG COWEN SECURITIES CORPORATION (NEW YORK NY)

NY

12/18/1998 - 07/11/2000

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

10/08/1997 - 12/18/1998

CITICORP SECURITIES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/18/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/20/2023

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 09/16/1997

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 Mustafa Suber Topiwalla.
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