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Thomas Lee

Smbc Nikko Securities America, Inc.

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About Thomas Lee

Thomas Lee is a registered representative at Smbc Nikko Securities America, Inc. based in Jersey City, New Jersey. Thomas has earned the Series 99TO and SIE licenses and has been in the industry since December 2022.

Firm Information

Thomas 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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Thomas Lee’s Registration & Firm History

NJ

12/16/2022 - Present

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

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Licenses & Designations

BC

Issued 12/15/2022

Series 99TO - Operations Professional Examination

BC

Issued 11/15/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Lee.
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