SMC GLOBAL USA INC.
CRD #226666 SEC #801-107145 NEW YORK, NY 212-878-3600
SEC Registered
Total AUM
$29.3M
Discretionary
$28.4M
Employees
4
Clients
1
Accounts
168
Firm Details
- Organization Type
- Corporation
- State of Formation
- New York
- Fiscal Year End
- MARCH
- Registration Date
- --
- Latest Filing
- Jun 30, 2017
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| AGGARWAL, DAMODAR, KRISHAN | I | DIRECTOR | NA | Control |
| AGGARWAL, DAMODAR, KRISHAN | I | DIRECTOR | NA | Control |
| AGGARWAL, DAMODAR, KRISHAN | I | DIRECTOR | NA | Control |
| AGGARWAL, DAMODAR, KRISHAN | I | DIRECTOR | NA | Control |
| GUPTA, HIMANSHU | I | DIRECTOR | NA | Control |
| GUPTA, HIMANSHU | I | DIRECTOR | NA | Control |
| GUPTA, HIMANSHU | I | DIRECTOR | NA | Control |
| GUPTA, HIMANSHU | I | DIRECTOR | NA | Control |
| FRANKLIN, ROMAN, NEHEMIAH | I | CCO, CIO | C | Control |
| FRANKLIN, ROMAN, NEHEMIAH | I | CCO, CIO | C | Control |
| FRANKLIN, ROMAN, NEHEMIAH | I | CCO, CIO | C | Control |
| FRANKLIN, ROMAN, NEHEMIAH | I | CCO, CIO | C | Control |
| SMC GLOBAL SECURITIES LTD. | FE | OWNER | C | Control |
| SMC GLOBAL SECURITIES LTD. | FE | OWNER | C | Control |
| SMC GLOBAL SECURITIES LTD. | FE | OWNER | C | Control |
| SMC GLOBAL SECURITIES LTD. | FE | OWNER | C | Control |
| CHERIAN, FINNEY, JACOB | I | CHIEF EXECUTUVE OFFICER | B | Control |
| CHERIAN, FINNEY, JACOB | I | CHIEF EXECUTUVE OFFICER | B | Control |
| CHERIAN, FINNEY, JACOB | I | CHIEF EXECUTUVE OFFICER | B | Control |
| CHERIAN, FINNEY, JACOB | I | CHIEF EXECUTUVE OFFICER | B | Control |
Registrations
Federal
IA
Jun 30, 2017 REGISTERED
Notice Filings (3)
FL GA NY
Address
1345 AVENUE OF THE AMERICAS2ND FLOOR
NEW YORK, NY 10105
United States
Phone: 212-878-3600