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Nicholas Michael Santoiemma

Smbc Nikko Securities America, Inc.

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About Nicholas Michael Santoiemma

Nicholas Michael Santoiemma is a financial advisor based in New York, NY. Nicholas has been working in the financial services industry for over 20 years. Nicholas is currently registered with Smbc Nikko Securities America, Inc. and is a Series 7, Series 63, Series 25, and SIE licensed representative. Nicholas has also held previous positions at Goldman Sachs & Co. LLC, Goldman, Sachs & Co., Goldman Sachs Execution & Clearing, L.P., Jemmini Securities, LLC, Fleet Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firm Information

Nicholas Santoiemma 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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Nicholas Santoiemma’s Registration & Firm History

NY

12/01/2023 - Present

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

NY

04/19/2010 - 04/26/2023

GOLDMAN SACHS & CO. LLC (NEW YORK NY)

NY

05/02/2007 - 06/04/2008

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

08/02/2002 - 05/21/2007

GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NEW YORK NY)

NY

12/06/2004 - 12/14/2004

JEMMINI SECURITIES, LLC (NEW YORK NY)

TX

12/23/1998 - 04/10/2000

FLEET SECURITIES, INC. (DALLAS TX)

NY

11/12/1997 - 03/11/1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/05/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/17/1999

Series 25 - NYSE Trading Assistant Examination

BC

Issued 11/11/1997

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 Nicholas Michael Santoiemma.
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