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Randolph Lawrence Habeck

Smbc Nikko Securities America, Inc.

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About Randolph Lawrence Habeck

Randolph Lawrence Habeck is a financial professional with over 20 years of experience in the industry. Randolph has been registered with Smbc Nikko Securities America, Inc. since May 2021. Previously, Randolph was registered with Stormharbour Securities LP, Morgan Stanley & Co. LLC, Goldman, Sachs & Co., Dresdner Kleinwort Securities LLC, and Dresdner Kleinwort Wasserstein - Grantchester, Inc. Randolph holds the Series 7, 24, 63, 66, 79TO, and SIE licenses.

Firm Information

Randolph Habeck 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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Randolph Habeck’s Registration & Firm History

NY

05/11/2021 - Present

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

NY

05/19/2020 - 03/17/2021

STORMHARBOUR SECURITIES LP (NEW YORK NY)

NY

10/20/2011 - 04/27/2020

MORGAN STANLEY & CO. LLC (NEW YORK NY)

NY

11/05/2009 - 10/03/2011

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

02/10/2003 - 07/21/2009

DRESDNER KLEINWORT SECURITIES LLC (NEW YORK NY)

NY

07/10/2002 - 01/06/2003

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/20/2016

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 01/12/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/31/2024

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 07/09/2002

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 Randolph Lawrence Habeck.
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