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Simon W Lee

Smbc Nikko Securities America, Inc.

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About Simon W Lee

Simon W Lee is a financial professional with over 10 years of experience in the securities industry. Simon is currently registered with Smbc Nikko Securities America, Inc. and is a Series 27, 99TO and SIE licensed professional. Simon has previously worked at a number of firms including Aqua Securities L.P., BGC Financial, L.P., CFWP Securities, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firm Information

Simon Lee 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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Simon Lee’s Registration & Firm History

NY

12/03/2020 - Present

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

NY

08/29/2017 - 11/25/2019

AQUA SECURITIES L.P. (NEW YORK NY)

NY

08/29/2017 - 11/25/2019

BGC FINANCIAL, L.P. (NEW YORK NY)

NY

08/29/2017 - 11/25/2019

CF SECURED, LLC (NEW YORK NY)

NY

08/29/2017 - 11/25/2019

CFWP SECURITIES, LLC (NEW YORK NY)

NY

08/29/2017 - 11/25/2019

FENICS EXECUTION, LLC (NEW YORK NY)

NY

08/29/2017 - 11/25/2019

GFI SECURITIES LLC (NEW YORK NY)

NY

08/29/2017 - 11/25/2019

MINT BROKERS (NEW YORK NY)

NY

08/29/2017 - 11/25/2019

SUNRISE BROKERS LLC (NEW YORK NY)

NY

01/30/2017 - 11/25/2019

CANTOR FITZGERALD & CO. (NEW YORK NY)

NY

01/28/2015 - 01/23/2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

10/17/2012 - 01/15/2015

BMO CAPITAL MARKETS CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/16/2012

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

SIE - Securities Industry Essentials 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 Simon W Lee.
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