Pamela Kiss
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Pamela Kiss, who also goes by Pamela Cashill, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1984. Pamela had worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 14, Series 4, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2010 - April 3, 2023
NOMURA SECURITIES INTERNATIONAL, INC.
January 27, 1995 - June 11, 2010
UBS SECURITIES LLC
May 16, 1989 - January 26, 1995
KIDDER, PEABODY & CO. INCORPORATED
January 25, 1984 - January 19, 1987
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
NOMURA SECURITIES INTERNATIONAL, INC.
CRD#: 4297 / SEC#: 801-72991, 8-15255
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
NOMURA SECURITIES INTERNATIONAL, INC.
CRD#: 4297 / SEC#: 801-72991, 8-15255
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NOMURA HOLDING AMERICA, INC. | SHAREHOLDER | |
| ALOUPIS, STEVEN NICHOLAS | CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR | 2498339 |
| CHIULLI, EUGENE JAMES | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER & MANAGING DIRECTOR | 2976702 |
| DUMARK, GREGORY JAMES | CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR | 5593904 |
| GIANCARLO, JAMES CHRISTOPHER | BOARD OF DIRECTORS | 7414068 |
| HUGHES, WILLIAM FRANCIS JR | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER & MANAGING DIRECTOR | 1666328 |
| KAWAMURA, SATOSHI | EXECUTIVE CHAIRMAN OF BOARD | 7533044 |
| PRIMIANO, VINCENT ANTHONY | CHIEF EXECUTIVE OFFICER, PRESIDENT & SENIOR MANAGING DIRECTOR | 2123603 |
| WEBB, FARON ROSS | CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR | 2452057 |
Disclosures
| Regulatory Event | 83 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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