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Raymond B. Mulder

Smbc Nikko Securities America, Inc.

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About Raymond B. Mulder

Raymond B. Mulder is a financial professional with over 20 years of experience in the financial services industry. Raymond is currently registered with Smbc Nikko Securities America, Inc. Raymond has a broad range of experience, having previously held positions at Natixis Securities Americas LLC, Natixis Securities North America Inc., Credit Agricole Securities (USA) Inc., and Bear, Stearns & Co. Inc. Raymond holds FINRA Series 7, 24, 63, and 65 licenses and the SIE exam. Raymond is registered in 51 states.

Firm Information

Raymond Mulder 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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Raymond Mulder’s Registration & Firm History

NY

09/27/2021 - Present

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

NY

10/03/2011 - 10/13/2021

NATIXIS SECURITIES AMERICAS LLC (NEW YORK NY)

NY

06/10/2011 - 10/03/2011

NATIXIS SECURITIES NORTH AMERICA INC. (NEW YORK NY)

NY

07/25/2007 - 05/16/2011

CREDIT AGRICOLE SECURITIES (USA) INC. (NEW YORK NY)

NY

10/22/2001 - 07/11/2007

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

FL

08/01/2000 - 02/15/2001

TIFFANY CAPITAL CORP. (SUNRISE FL)

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Licenses & Designations

IA

Issued 11/02/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/28/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/10/2013

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/31/2000

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 is public disclosure for Raymond B. Mulder. Review regulatory record here.
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