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Form X-17A-5 - FOCUS Report:
SEC Accession No. 0000875890-20-000002
Filing Date
2020-02-27
Accepted
2020-02-27 16:55:48
Documents
4
Period of Report
2019-12-31
Confirming Copy
 

Document Format Files

Seq Description Document Type Size
1 primary_doc.html X-17A-5  
1 primary_doc.xml X-17A-5 2270
2 STMT OF FINANCIAL CONDITION SOFC_2019b.pdf STMT FIN COND 993955
8 OPINION ON FS Acct_Report2019.pdf ACCT RPT FIN RPT 134213
12 NOTES TO FINANCIAL CONDITION NOTES_SOFC_2019.pdf STMT FIN COND NOTES 609965
  Complete submission text file 0000875890-20-000002.txt   2398470
Mailing Address 277 PARK AVENUE FIFTH FLOOR NEW YORK NY 10172
Business Address 277 PARK AVENUE FIFTH FLOOR NEW YORK NY 10172 212-224-5039
SMBC NIKKO SECURITIES AMERICA, INC. (Filer) CIK: 0000875890 (see all company filings)

IRS No.: 133606844 | State of Incorp.: DE | Fiscal Year End: 1231
Type: X-17A-5 | Act: 34 | File No.: 008-43852