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Raymond Velazquez

Smbc Nikko Securities America, Inc.

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About Raymond Velazquez

Raymond Velazquez is a financial advisor who has been in the industry since August 31, 1993. Raymond is currently registered with Smbc Nikko Securities America, Inc. and has been with the firm since June 4, 2015. Raymond has previously worked with a number of other firms, including Mizuho Securities USA Inc., Murphy & Durieu, Merriman Curhan Ford & Co., Independent Research Group LLC, Pacific American Securities, LLC, NDB Capital Markets, LP, ABN AMRO Securities LLC, CIBC World Markets Corp., and Goldman, Sachs & Co. Raymond holds Series 7, 55, 57TO, and SIE licenses and is registered in 51 states and the District of Columbia.

Firm Information

Raymond Velazquez 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 Velazquez’s Registration & Firm History

NY

06/04/2015 - Present

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

NY

03/15/2010 - 05/19/2015

MIZUHO SECURITIES USA INC. (NEW YORK NY)

NY

01/05/2009 - 02/24/2010

MURPHY & DURIEU (NEW YORK NY)

NY

06/06/2005 - 01/05/2009

MERRIMAN CURHAN FORD & CO. (NEW YORK NY)

NY

12/16/2003 - 06/01/2005

INDEPENDENT RESEARCH GROUP LLC (NEW YORK NY)

CA

10/04/2002 - 03/28/2003

PACIFIC AMERICAN SECURITIES, LLC (SAN DIEGO CA)

NY

06/01/2001 - 07/02/2002

NDB CAPITAL MARKETS, LP (NEW YORK NY)

NY

03/07/2000 - 05/29/2001

ABN AMRO SECURITIES LLC (NEW YORK NY)

NY

04/06/1999 - 04/19/2000

CIBC WORLD MARKETS CORP. (NEW YORK NY)

NY

06/24/1992 - 02/24/1999

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/11/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/19/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/22/1992

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 Raymond Velazquez.
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