Michael P. Guarnieri
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.
Michael Peter Guarnieri was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 4 firms and has passed the Series 63, SIE, Series 16, 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
September 8, 2009 - February 14, 2017
NOMURA SECURITIES INTERNATIONAL, INC.
September 19, 2008 - June 2, 2009
NEUBERGER BERMAN BD LLC
December 16, 1994 - September 24, 2008
LEHMAN BROTHERS INC.
January 4, 1993 - January 10, 1995
KIDDER, PEABODY & CO. INCORPORATED
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
Current 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
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