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Peter Daniel Fink

Smbc Nikko Securities America, Inc.

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About Peter Daniel Fink

Peter Fink is a registered representative with Smbc Nikko Securities America, Inc., operating from their New York, NY office. Peter Fink has been active in the industry since 1997 and has extensive experience in the securities industry. Peter Fink holds numerous licenses and registrations, including Series 24, Series 52, Series 53, Series 55, Series 57TO, Series 62, Series 63, Series 79TO, and Series 17. Peter Fink's expertise and dedication to his clients make him a valuable asset to Smbc Nikko Securities America, Inc..

Firm Information

Peter Fink 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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Peter Fink’s Registration & Firm History

NY

09/18/1997 - Present

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

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Licenses & Designations

BC

Issued 09/29/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/26/2003

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/11/1999

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 62 - Corporate Securities Limited Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/14/2003

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/12/1999

Series 52 - Municipal Securities Representative Examination

BC

Issued 09/16/1997

Series 17 - Limited Registered 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 Peter Daniel Fink.
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