Branch offices
2 offices
FINRA: Small firm
CRD #297706 · FINRA BrokerCheck + SEC IAPD
SMBC Nikko Securities Canada, Ltd.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, SMBC Nikko Securities Canada, Ltd. ranks #17,425 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #783 of 868 on the same disclosure sort used on the state browse page. SMBC Nikko Securities Canada, Ltd. has a clean FINRA BrokerCheck record, no reportable disclosures across its 2 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 2
- branch offices
- 0
- disclosures
- #17,425 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 297706 SMBC Nikko Securities Canada, Ltd.
SMBC Nikko Securities Canada, Ltd. · Grade A · 0 disc · 0.00/office · Small firm
- CRD 297706
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #17,425 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
SMBC Nikko Securities Canada, Ltd. ranks #17,425 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 2 offices
Clean disclosure surface
SMBC Nikko Securities Canada, Ltd. has zero reportable FINRA BrokerCheck disclosures in this extract across 2 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- New York, NY
- CRD Number
- 297706
Clean BrokerCheck surface
SMBC Nikko Securities Canada, Ltd.'s clean BrokerCheck surface
SMBC Nikko Securities Canada, Ltd. shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
SMBC Nikko Securities Canada, Ltd. shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of SMBC Nikko Securities Canada, Ltd.'s clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
New York cohort · 0.00× state average
SMBC Nikko Securities Canada, Ltd. sits below the New York disclosure average
SMBC Nikko Securities Canada, Ltd. reports 0 BrokerCheck disclosures, 0.00× the New York average of 8.7, lighter than most of the 868 graded firms filed there.
In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does SMBC Nikko Securities Canada, Ltd. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, SMBC Nikko Securities Canada, Ltd. ranks #17,425 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #783 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of A mean for SMBC Nikko Securities Canada, Ltd.?
A grade of A means SMBC Nikko Securities Canada, Ltd. has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does SMBC Nikko Securities Canada, Ltd. have?
SMBC Nikko Securities Canada, Ltd. has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is SMBC Nikko Securities Canada, Ltd.?
SMBC Nikko Securities Canada, Ltd. operates 2 branch offices and is classified by FINRA as a small firm, registered in NY (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify SMBC Nikko Securities Canada, Ltd.'s disciplinary record?
You can verify SMBC Nikko Securities Canada, Ltd.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 297706. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. SMBC Nikko Securities Canada, Ltd. currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to SMBC Nikko Securities Canada, Ltd.'s 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to SMBC Nikko Securities Canada, Ltd.'s 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to SMBC Nikko Securities Canada, Ltd.'s 0.00
- Firms in NY - state roster that includes SMBC Nikko Securities Canada, Ltd.'s registration home.
- How to Vet a Financial Advisor - Use SMBC Nikko Securities Canada, Ltd.'s clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like SMBC Nikko Securities Canada, Ltd.'s does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside SMBC Nikko Securities Canada, Ltd..
- Compare firms - put SMBC Nikko Securities Canada, Ltd. next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.