Company Announcements

SMBC Nikko Securities America, Inc. Expands Equity Execution Services Group With Several New Hires

NEW YORK--(BUSINESS WIRE)--Dec. 22, 2022-- SMBC Nikko Securities America, Inc., a member of SMBC Group, has announced a number of significant hires across the equity execution business over the past few months. These appointments further highlight SMBC Nikko Americas’ investment in its equity businesses, with a keen focus on expanding its capabilities and presence in both the Japanese and U.S. equities markets.

These new joiners will help strengthen high- and low-touch trading relationships for Japanese equities with North American clients. They will also focus on the continued growth of the U.S. equity liquidity pool with global clients, as our breadth of clients expands. In addition, the expansion of our equity product offerings is fortified with the commercial experience joining our team to create these new products with equity finance.

Masahito Nonaka , Deputy President, SMBC Nikko Securities America, Inc., commented, “These hires help reinforce our commitment to our equity clients and the overall equity business. In addition to introducing new clients to our institutional business, the team plans to leverage SMBC’s strengths in developing new equity product offerings. Completing this will only further our reach with the institutional equity community.”

Allen Jordan joins us as an Executive Director focused on U.S. equity sales trading. Before joining the firm, Allen was with KeyBank for three years, where he was focused on high-touch sales trading U.S. equities. Prior to KeyBank, Allen spent a decade each at Macquarie and Bear Stearns, developing his existing relationships and product knowledge of low- and high-touch trading with both U.S. and international equities. We look forward to Allen leveraging these strong relationships to introduce our Japanese equity advisory, execution, and ECM offerings.

Marc Rosa joins us as an Executive Director and specialist in international equity sales trading, most recently covering Asia-Pacific for North American clients at Macquarie for 18 years. Marc brings extensive client relationships across multiple execution channels, where he is viewed as an APAC expert in market structure. He will use this experience to strengthen our Japanese equities sales trading effort at SMBC Nikko. Marc will also be responsible for leveraging his relationships for U.S. equity sales trading, low-touch sales of Japanese equities, and introducing new offerings, such as ADR conversions and program trading.

Ted Langworthy joins us as an Executive Director and Head of the Equity Finance team. He spent the past two decades in securities lending and equity financing with several global financial institutions, including Morgan Stanley, Deutsche Bank, and HSBC, where he delivered an array of financing products and synthetic financing solutions to clients.

The establishment of the Equity Finance team at SMBC Nikko America represents the firm’s willingness to expand its global footprint into new product lines. Launched on the heels of SMBC Nikko Tokyo’s newly established Equity Finance team, our Americas team’s objective will be to coordinate globally and highlight its expertise with Japanese and U.S. securities.

The team plans to leverage SMBC’s strong balance sheet and capital base to deliver added liquidity to the securities lending and funding markets. They will accomplish this through secured financing transactions and eventually leveraging SMBC Nikko’s vast Japanese retail onshore network. The firm’s platform will service interdealer brokers, work with agency and principal lenders, and coordinate with the launch of the synthetic prime brokerage—targeted for Q3 2023—in order to offer what it can to hedge fund clients.

About SMBC Nikko Securities America, Inc.

SMBC Nikko Securities America, Inc. is a member of SMBC Group, one of the world’s largest global financial institutions. Based in New York City, SMBC Nikko Securities America, Inc. provides investment securities and other financial services to corporate and institutional clients, focusing on North America and Latin America. SMBC Nikko Securities America, Inc. caters to institutional investors such as mutual funds, hedge funds, and other investment advisors.

About SMBC Group

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 150 offices and 86,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG’s shares trade on the Tokyo, Nagoya, and ADRs on the New York (NYSE: SMFG) stock exchanges. As of June 30, 2022, its total assets were $1.97 trillion.

In the Americas, SMBC Group has a presence in the U.S., Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Nikko Securities Canada, Ltd., SMBC Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers Bank, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd. For more information, please visit

AnneMarie Laorenza

Source: SMBC Nikko Securities America, Inc.