Robert E. Buetti

DAIWA CAPITAL MARKETS AMERICA

Bay Shore, NY

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CRD#: 1146969

Professional summary

Robert Edward Buetti JR is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in Bay Shore, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1984. Robert has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Edward Buetti JR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 16, 2005 - Present

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576

Bay Shore, NY

Past

April 26, 2004 - March 22, 2005

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

May 2, 1990 - December 14, 1990

CM&M FUTURES INC.

CRD#: 15845

NEW YORK, NY

Past

May 2, 1990 - March 15, 2004

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

August 15, 1989 - March 29, 1990

BNY SECURITIES, INC.

CRD#: 19712

Past

August 20, 1986 - August 1, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

Past

February 24, 1984 - August 5, 1986

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(3/16/2005)

District of Columbia
(12/11/2008)

New Jersey
(3/16/2005)

New Mexico
(11/3/2022)

New York
(3/16/2005)

Virginia
(2/20/2008)

Exams

State Security Law Exam

Series 63

Date: 4/11/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

DAIWA CAPITAL MARKETS AMERICA INC.

DAIWA CAPITAL MARKETS AMERICA INC. | DAIWA SECURITIES AMERICA INC.

CRD#: 1576 / SEC#: , 8-12242

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1251 Avenue Of The Americas 49th Fl, New York, NY, 10020

Mailing Address

1251 Avenue Of The Americas 49th Fl, New York, NY, 10020

Phone number

(212) 612-7000

Established

New York since 12/08/1964

Firm type

Corporation

Fiscal year end

March

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC.	SHAREHOLDER
AIZAWA, GAKU	MANAGING DIRECTOR / MEMBER OF THE BOARD OF DIRECTORS	1763967
GREFE, JOHN HERBERT III	EXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER	3275699
MACHIDA, KEIJI	PRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR)	7273228
PARRY, GEORGE L	CFO / TREASURER	3221390
SAMBONGI, TOHRU	MANAGING DIRECTOR / CO-HEAD OF FIXED INCOME	7302894
UEJIMA, EIJI	MANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION	8039040
YAMAUCHI, MASAHIRO	DEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS	7920876

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Robert E. Buetti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Edward Buetti JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANTOR FITZGERALD & CO.

CM&M FUTURES INC.

HSBC SECURITIES (USA) INC.

BNY SECURITIES, INC.

THOMSON MCKINNON SECURITIES INC.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/11/1984

SIE

Date: 10/1/2018

Series 7

Date: 2/18/1984

FINRA

Investors' Exchange LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

DAIWA CAPITAL MARKETS AMERICA INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DAIWA CAPITAL MARKETS AMERICA INC.

TRUST BUT VERIFY

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