# EDGAR Filing Document

**Accession Number:** 0000875890
**File Stem:** 0000875890-26-000003
**Filing Date:** 2026-3
**Character Count:** 2754
**Document Hash:** 35b8c753d924ebb1c3cdd97b7287fbb4
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000875890-26-000003.hdr.sgml**: 20260302

**ACCESSION NUMBER**: 0000875890-26-000003

**CONFORMED SUBMISSION TYPE**: X-17A-5

**CONFIRMING COPY**: 

**PUBLIC DOCUMENT COUNT**: 3

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260302

**DATE AS OF CHANGE**: 20260302

**PERIOD START**: 20250101

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SMBC NIKKO SECURITIES AMERICA, INC.
- **CENTRAL INDEX KEY:** 0000875890

**ORGANIZATION NAME:**
- **EIN:** 133606844
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-43852

**BUSINESS ADDRESS:**
- **STREET 1:** 277 PARK AVENUE FIFTH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10172
- **BUSINESS PHONE:** 212-572-1209

**MAIL ADDRESS:**
- **STREET 1:** 277 PARK AVENUE FIFTH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10172

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SMBC SECURITIES, INC.
- **DATE OF NAME CHANGE:** 20020321

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SMBC SECURITIES INC                                     /BD
- **DATE OF NAME CHANGE:** 20020321

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SUMITOMO BANK SECURITIES INC
- **DATE OF NAME CHANGE:** 20010404

### Attached PDF Documents

**Attachment 1:** `Notes_SOFC_2025.pdf`

_No text found in this document._

**Attachment 2:** `SOFC_2025.pdf`

_No text found in this document._

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM X-17A-5

### ANNUAL AUDITED REPORT

### Filer Information

**Filer CIK:** 0000875890

**Filer CCC:** XXXXXXXX

**Is this a LIVE or TEST filing?:** LIVE

**Would you like a Return Copy?:** Yes

### Submission Information

**Report Period Begin Date:** 01-01-2025

**Report Period End Date:** 12-31-2025

**Type of Registrant:** Broker-dealer

**Any material weaknesses identified?:** No

### Registrant Identification

**Name of Broker-Dealer:** SMBC NIKKO SECURITIES AMERICA, INC.

**Business Address:** 277 PARK AVENUE FIFTH FLOOR, NEW YORK, NY, 10172

**Contact Person:** Nathan Tun

**Contact Phone:** 917-262-2718

### Independent Public Accountant Identification

**Accountant Name:** KPMG LLP

**Accountant Address:** 345 Park Avenue, New York, NY, 10154

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **Scott Ashby**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **SMBC NIKKO SECURITIES AMERICA, INC.**, as of **12-31-2025**, are true and correct.

**Signature:** Scott Ashby

**Title:** President

**Notarized:** Yes