James W. Merli
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.
James William Merli was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 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
November 30, 2010 - June 22, 2011
NOMURA SECURITIES NORTH AMERICA, LLC
August 2, 2010 - September 18, 2015
NOMURA SECURITIES INTERNATIONAL, INC.
September 22, 2008 - May 19, 2010
BARCLAYS CAPITAL INC.
November 8, 1988 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
November 8, 1988 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
May 21, 1985 - September 22, 2008
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
NOMURA SECURITIES NORTH AMERICA, LLC
CRD#: 42885 / SEC#: , 8-50057
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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