The Nikko Securities Co. International, Inc. (New York)


The Nikko Securities Co. International, Inc. is a large advisory firm based in New York. It manages $1.84 billion of regulatory assets for 5 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdiction of New York.

The Nikko Securities Co. International provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

The Nikko Securities Co. International: assets under management

The assets under management (AUM) of The Nikko Securities Co. International, Inc. is $1.84 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 417% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.84 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $367.6 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay The Nikko Securities Co. International, Inc. for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at The Nikko Securities Co. International, Inc.

John G Daniello has been acting as President since 1 Nov 2001. Hiroki Tsujimura joined the executive team most recently as the President And Ceo.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Inc. Nikko Americas Holding Co. Owner 1 Apr 1997 75% - 100% 13-3940718
Masao Matsuda President, ceo & director 1 Jul 1999 Other 2810991
Andrew Burke Weisman Evp 1 Jul 1999 Other 1613011
Paul James Hodermarsky Svp, cfo 1 Jul 1999 Other 1072237
Joseph Angelo Mendola Executive vice president, director of compliance, director 1 Jun 2000 Other 2876577
Marc Harry Steglitz Director 1 Jul 2001 Other xxx-xx-xxxx
Hideo Abe Director 1 Jul 2001 Other non-us national
John Gerard Mr. Daniello Director 1 Sep 2001 Other 4582625
John G Daniello Director 1 Nov 2001 Other xxx-xx-xxxx
John Gerard Mr. Daniello Director 1 Nov 2001 Other 4582625
Jose Mario Qunitana Executive vice president 1 Apr 2002 Other xxx-xx-xxxx
Shuichi Kondo Director 1 Apr 2002 Other xxx-xx-xxxx
Hiroki Tsujimura Executive vice president 1 Oct 2003 Other 2302926
Jeff Yimyu Lee Executive vice president 1 Nov 2004 Other 2519049
Hiroki Tsujimura President and ceo 1 Dec 2004 Other 2302926

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Nikko Cordial Corporation 0wner 1 Dec 1959 75% - 100% foreign
Nikko Securities Global Holdings Ltd. Owner 1 Apr 1997 75% - 100%
Nikko Cordial Securities Inc. Owner 1 Oct 2001 75% - 100%
Nikko Cordial Corporation 0wner 1 Jun 2004 75% - 100% 00-0000000
Ltd. Nikko Asset Management Co. Owner 1 Sep 2004 75% - 100% foreign

Based in New York

The principal office where The Nikko Securities Co. International, Inc. performs its advisory services is located at 535 Madison Avenue, New York, NY 10022, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-610-6100 or by fax 212-610-6140. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday.