Broker-dealer firm · New York, NY
Nomura Securities International, Inc.
SEC-registered investment adviser · CRD 4297 · SEC 801-72991
At a glance
Nomura Securities International, Inc. is an SEC-registered investment adviser based in New York, New York, with $0 in regulatory assets under management as of its Form ADV filed August 6, 2026. By Form ADV it is a broker-dealer firm, ranked 390th of 391 broker-dealer firms and 17,164th of 17,210 SEC-registered advisers by assets.
Main office 212-667-9000nomura.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $0M
- Rank among broker-dealer firms
- #390 of 391
- Rank among all SEC RIAs
- #17,164 of 17,210
- Rank in New York
- #2,579 of 2,591
- Clients
- 0
- Accounts
- 0
- Discretionary
- 0% of AUM
- Employees
- 14
- Advisory staff
- 14
- Offices
- 1
Owners and executives on its Form ADV
- Faron Ross WebbChief Legal Officer, General Counsel, Secretary & Managing Director
- Laura Simone UngerBoard of Directors
- Steven Nicholas AloupisCo-Chief Executive Officer, Board of Directors & Managing Director
- William Francis Jr HughesChief Operations Officer, Principal Operations Officer & Managing Director
- Eugene James ChiulliChief Financial Officer, Finop, Principal Financial Officer & Managing Director
- James Christopher GiancarloBoard of Directors
- Satoshi KawamuraExecutive Chairman of Board
- Gregory James DumarkChief Compliance Officer and Managing Director
- Vincent Anthony PrimianoChief Executive Officer, President & Senior Managing Director
Custody and brokerage
Custodian
Nomura Securities International, Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Nomura Securities International, Inc. is a hybrid RIA: 14 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Delaware Distributors, L.P., Instinet, LLC, Nomura International (hong Kong) Limited, Nomura International PLC and Nomura Securities Co., LTD..
- Delaware Distributors, L.P. ↗CRD 14232
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, June 2026
- Instinet, LLC ↗CRD 7897
- Nomura International (hong Kong) Limited
- Nomura International PLC
- Nomura Securities Co., LTD.
Disciplinary disclosures
Nomura Securities International, Inc. answers yes to 133 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Periodicals or newsletters
- Other services
How it’s paid
- Other
Form ADV and brochures on the SEC’s adviser search ↗nomura.com ↗
AtlasMembers
The full record on Nomura Securities International, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 28 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 9 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Nomura Securities International, Inc. manage?
Nomura Securities International, Inc. reports $0 in regulatory assets under management, on its Form ADV filed August 6, 2026.
What kind of firm is Nomura Securities International, Inc.?
Nomura Securities International, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons.
Does Nomura Securities International, Inc. have any disciplinary history?
Nomura Securities International, Inc. answers yes to 133 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Nomura Securities International, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-06), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →