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Xerxes Sarkary

Smbc Nikko Securities America, Inc.

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About Xerxes Sarkary

Xerxes Sarkary has been in the financial services industry since 2002. Currently, Xerxes is a Registered Representative at SMBC Nikko Securities America, Inc. in New York, New York. Previously, Xerxes was a Registered Representative at Mizuho Securities USA LLC, Countrywide Securities Corporation, Nomura Securities International, Inc., Commerzbank Capital Markets Corp., AIG International Securities Inc., and Lehman Brothers Inc. Xerxes holds Series 7, Series 24, Series 63, SIE, and Series 99TO licenses and is registered in New York.

Firm Information

Xerxes Sarkary 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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Xerxes Sarkary’s Registration & Firm History

NY

07/12/2023 - Present

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

NY

07/29/2010 - 08/19/2021

MIZUHO SECURITIES USA LLC (NEW YORK NY)

CA

06/05/2006 - 08/07/2008

COUNTRYWIDE SECURITIES CORPORATION (CALABASAS CA)

NY

08/08/2005 - 06/08/2006

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NY

06/06/2002 - 08/08/2005

COMMERZBANK CAPITAL MARKETS CORP. (NEW YORK NY)

CT

04/05/2000 - 08/08/2000

AIG INTERNATIONAL SECURITIES INC. (GREENWICH CT)

NY

06/05/1997 - 06/04/1998

ING BARING (U.S.) SECURITIES, INC. (NEW YORK NY)

NY

09/13/1994 - 05/01/1997

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/11/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/23/2007

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/11/1994

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 Xerxes Sarkary.
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