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Paul S Spivack

Smbc Nikko Securities America, Inc.

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About Paul S Spivack

Paul Spivack is a financial advisor with over 25 years of experience in the industry. Paul is currently registered with Smbc Nikko Securities America, Inc. Paul's experience includes working for several well-known financial institutions including Morgan Stanley & Co. LLC, BANC OF AMERICA SECURITIES LLC, BEAR, STEARNS & CO. INC., CREDIT SUISSE FIRST BOSTON CORPORATION, and UBS SECURITIES LLC.

Firm Information

Paul Spivack 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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Paul Spivack’s Registration & Firm History

NY

12/17/2021 - Present

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

NY

03/29/2004 - 05/13/2021

MORGAN STANLEY & CO. LLC (NEW YORK NY)

NY

05/31/2000 - 04/24/2002

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

09/23/1998 - 11/17/1999

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

05/21/1998 - 09/04/1998

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

NY

05/16/1996 - 05/08/1998

UBS SECURITIES LLC (NEW YORK NY)

NY

09/29/1993 - 05/03/1996

CS FIRST BOSTON CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/28/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/26/2007

Series 53 - Municipal Securities Principal Examination

BC

Issued 07/13/2001

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/23/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/29/1994

Series 3 - National Commodity Futures Examination

BC

Issued 09/27/1993

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 Paul S Spivack.
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