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Peter Jon Shepanzyk

Smbc Nikko Securities America, Inc.

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About Peter Jon Shepanzyk

Peter Jon Shepanzyk is a financial advisor with Smbc Nikko Securities America, Inc. Peter has been in the industry since January 31, 2024. Peter is registered in 51 states and holds the Series 79TO, Series 63, and SIE exams.

Firm Information

Peter Shepanzyk 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 Shepanzyk’s Registration & Firm History

NY

01/31/2024 - Present

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

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Licenses & Designations

BC

Issued 05/20/2024

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/31/2024

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 03/01/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Peter Jon Shepanzyk.
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