NOMURA SECURITIES INTERNATIONAL, INC.
Adviser information for NOMURA SECURITIES INTERNATIONAL, INC. last updated from Form ADV on March 13th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 14 |
| Registered Broker-Dealer Representatives | 14 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 3 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Publication of periodicals or newslettersRESEARCH-RELATED SERVICES |
|---|---|
| Compensation | NEGOTIATED FEES FOR RESEARCH-RELATED SERVICES |
| Other Business Activities | Broker-dealerFutures commission merchant |
Identifiers
| SEC RIA File Number | 801-72991 |
|---|---|
| SEC ERA File Number | 801-72991 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 4297 |
| Legal Entity Identifier | OXTKY6Q8X53C9ILVV871 |
Principal Office
WORLD WIDE PLAZA309 WEST 49TH STREET
NEW YORK
NY
United States
Monday - Friday, 9AM TO 5PM
Tel: 212-667-9000, Fax: 212-667-9100
Chief Compliance Officer
GREGORY DUMARK
CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY
WORLDWIDE PLAZA
309 WEST 49TH STREET
NEW YORK
NY
United States
Tel:
212 436 8077
G*************@*********M
(Full email address available in API data)
Industry Affiliates
| INSTINET, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| NOMURA ASSET MANAGEMENT U.S.A. INC. | Other investment adviser, including financial planners |
| NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NOMURA GLOBAL ALPHA LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NOMURA INTERNATIONAL PLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NOMURA SECURITIES CO., LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| UNGER, LAURA SIMONE | Individual | – | BOARD OF DIRECTORS | 01/2015 | < 5% |
| NOMURA HOLDING AMERICA, INC. | Domestic Entity | – | SHAREHOLDER | 04/1989 | > 75% |
| NOMURA HOLDING, INC. | Foreign Entity | NOMURA HOLDING AMERICA, INC. | PARENT | 10/2001 | > 75% |
| WEBB, FARON ROSS | Individual | – | CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR | 07/2022 | < 5% |
| ALOUPIS, STEVEN NICHOLAS | Individual | – | CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR | 04/2021 | < 5% |
| HUGHES, WILLIAM FRANCIS JR | Individual | – | CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR | 09/2018 | < 5% |
| CHIULLI, EUGENE JAMES | Individual | – | CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR | 04/2019 | < 5% |
| GIANCARLO, JAMES CHRISTOPHER | Individual | – | BOARD OF DIRECTORS | 06/2021 | < 5% |
| KAWAMURA, SATOSHI | Individual | – | CEO, PRESIDENT, SENIOR MANAGING DIRECTOR & BOARD OF DIRECTORS | 11/2021 | < 5% |
| DUMARK, GREGORY JAMES | Individual | – | CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR | 07/2022 | < 5% |
| PRIMIANO, VINCENT ANTHONY | Individual | – | CO-CHIEF EXECUTIVE OFFICER & MANAGING DIRECTOR | 10/2022 | < 5% |