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Roselle Sy

Smbc Nikko Securities America, Inc.

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About Roselle Sy

Roselle Sy is a financial professional with over 7 years of experience in the securities industry. Roselle holds the Series 27, SIE and Series 99TO licenses. Roselle is currently registered with Smbc Nikko Securities America, Inc., and is located in Jersey City, NJ.

Firm Information

Roselle Sy 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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Roselle Sy’s Registration & Firm History

NJ

05/31/2016 - Present

Smbc Nikko Securities America, Inc. (Jersey City NJ)

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Licenses & Designations

BC

Issued 05/31/2016

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

SIE - Securities Industry Essentials Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Roselle Sy.
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