X-17A-5: Filer Information

X-17A-5: Submission Information

X-17A-5: A. Registrant Identification

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
277 PARK AVENUE FIFTH FLOOR
City
NEW YORK
State/Country
NEW YORK
Mailing Zip/ Portal Code
10172

Name and Telephone Number of Person to Contact in Regard to this Report

Name
DSohn@smbcnikko-si.com
Telephone Number
212-224-5025

X-17A-5: B. Accountant Identification

Independent Public Accountant

X-17A-5: Signature

Oath or Affirmation

I, Ryo Suzuki, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of SMBC NIKKO SECURITIES AMERICA, INC., as of 12-31-2017, is true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:

Notary Public