Brian D. Haworth
Professional summary
Brian Daniel Haworth is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in Iselin, New Jersey.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1987. Brian has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Daniel Haworth's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 11, 2005 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
Office #1: 101 South Wood Ave. 4th Floor, Iselin, NJ, 08830January 7, 2005 - April 7, 2005
FHN FINANCIAL SECURITIES CORP.
August 2, 2004 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
February 19, 2003 - July 14, 2004
BANC ONE CAPITAL MARKETS, INC.
November 5, 2002 - February 14, 2003
SOVEREIGN SECURITIES CORPORATION, LLC
May 28, 2002 - November 5, 2002
MORGAN STANLEY DW INC.
November 13, 2001 - November 5, 2002
MORGAN STANLEY DW INC.
July 24, 2001 - November 21, 2001
ADVEST, INC.
November 4, 1998 - November 17, 2000
PRUDENTIAL EQUITY GROUP, LLC
November 29, 1993 - September 25, 1998
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
April 29, 1987 - December 9, 1993
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/18/2010)
(6/6/2007)
(4/20/2006)
(4/11/2005)
(11/10/2017)
(11/9/2017)
(3/24/2021)
(4/11/2005)
(10/3/2016)
(2/10/2023)
Exams
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.
CRD#: 1576 / SEC#: , 8-12242
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | |
| 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 | 30 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
