Company Name:
SMBC SECURITIES, INC.
CRD Number:
28602
Financial Regulator:
SEC/ FINRA
Registration started
Ended
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
CDR: 862273
ROBERT SEERY
started on 1991-12-06
CDR: 2521759
SAMBAMURTY KAMBHAMPATI
started on 1994-11-15
CDR: 2477497
PAUL BENJAMIN
started on 1994-06-15
CDR: 2098362
DANIEL PROSCIA
started on 1996-05-15
CDR: 2926065
CARL MORALES
started on 1997-10-28
CDR: 2538848
PIETER BIERKENS
PIETER ANTON BIERKENS
started on 1997-05-28
CDR: 1389360
KENNETH TOWNLEY
KENNETH MICHAEL TOWNLEY
started on 1998-03-16
CDR: 1588619
CHRISTINA JOHNSON
CHRISTINA JOHNSON CHRISTINA T OPOSA CHRISTINA TOLEDO OPOSA CHRISTINA MARIE TOLEDO
started on 1998-04-13
CDR: 2959961
AVITAL ZIDON
AVITAL ZIDON WALLER TALI ZIDON WALLER
started on 1998-01-06
CDR: 1798939
PETER CATALANO
PETER R CATALANO JR PETER R CATALANO
started on 1998-06-15
CDR: 4010037
JAMES MCDONALD
started on 1999-12-07
CDR: 3160743
KENJI IRIE
started on 1999-01-29
CDR: 3160749
DENISE SEPI
DENISE LAM
started on 1999-03-01
CDR: 3208565
RYOJI SATO
started on 1999-06-30
CDR: 4292516
XINYU TANG
VINCENT TANG
started on 2000-12-08
CDR: 4058530
VINCENT LAU
started on 2000-02-28
CDR: 1982400
JEFFREY JACARUSO
JEFFREY JACARUJO
started on 2001-10-02
CDR: 4386478
ERICA HRYNIUK
started on 2001-06-27
CDR: 2926065
CARL MORALES
ended on 2001-07-31
CDR: 1588619
CHRISTINA JOHNSON
CHRISTINA JOHNSON CHRISTINA T OPOSA CHRISTINA TOLEDO OPOSA CHRISTINA MARIE TOLEDO
ended on 2001-09-13
CDR: 2959961
AVITAL ZIDON
AVITAL ZIDON WALLER TALI ZIDON WALLER
ended on 2001-08-22
CDR: 2098362
DANIEL PROSCIA
ended on 2001-07-25
CDR: 2538848
PIETER BIERKENS
PIETER ANTON BIERKENS
ended on 2002-01-25
CDR: 4010037
JAMES MCDONALD
ended on 2002-05-22
CDR: 1389360
KENNETH TOWNLEY
KENNETH MICHAEL TOWNLEY
ended on 2002-03-21
CDR: 862273
ROBERT SEERY
ended on 2002-11-12
CDR: 1982400
JEFFREY JACARUSO
JEFFREY JACARUJO
ended on 2002-11-12
CDR: 4278907
WILLAN ZAK
WILLAM ZAK
started on 2003-01-29
CDR: 2477497
PAUL BENJAMIN
ended on 2003-03-07
CDR: 1798939
PETER CATALANO
PETER R CATALANO JR PETER R CATALANO
ended on 2003-02-28
CDR: 4278907
WILLAN ZAK
WILLAM ZAK
ended on 2004-08-20
CDR: 3160749
DENISE SEPI
DENISE LAM
ended on 2004-01-21
CDR: 4058530
VINCENT LAU
ended on 2004-01-05
CDR: 4701052
RANDALL SMITH
started on 2005-04-04
CDR: 2521759
SAMBAMURTY KAMBHAMPATI
ended on 2005-01-07
CDR: 3160743
KENJI IRIE
ended on 2005-11-18
CDR: 4386478
ERICA HRYNIUK
ended on 2005-06-09
CDR: 4292516
XINYU TANG
VINCENT TANG
ended on 2005-02-07
CDR: 4263307
MICHAEL STELZER
started on 2006-09-08
CDR: 5069610
JOHN YOO
JOHN TAE YOO JOHN Y YOO
started on 2006-07-14
CDR: 4778287
BERT TAKAGI
SATORU TAKAGI
started on 2006-08-10
CDR: 5040849
TIMOTHY CRUISE
TIM CRUISE TIMOTHY IAN CRUISE
started on 2006-10-05
CDR: 5069610
JOHN YOO
JOHN TAE YOO JOHN Y YOO
ended on 2006-09-15
CDR: 5332143
TAKAFUMI OUE
started on 2007-06-06
CDR: 4778287
BERT TAKAGI
SATORU TAKAGI
ended on 2007-12-12
CDR: 4701052
RANDALL SMITH
ended on 2007-01-24
CDR: 3208565
RYOJI SATO
ended on 2008-04-01
CDR: 5040849
TIMOTHY CRUISE
TIM CRUISE TIMOTHY IAN CRUISE
ended on 2008-03-06
CDR: 5226736
PRISCILLA GUEVARA
started on 2009-10-05
CDR: 5332143
TAKAFUMI OUE
ended on 2009-11-02
CDR: 5226736
PRISCILLA GUEVARA
ended on 2009-11-02
CDR: 4263307
MICHAEL STELZER
ended on 2010-11-30



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