Raymond C. Remy
Professional summary
Raymond Champ Remy, who also goes by Raymond C Remy, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in Chatham, New Jersey.
Raymond is registered as a RR (Registered Representative) and started their career in finance in 1989. Raymond has worked at 4 firms and has passed the Series 63, Series 57TO, Series 72, Series 79TO, SIE, Series 7, Series 10, Series 12 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Raymond Champ Remy's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 24, 2004 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
Office #3: 6000 Fairview Road Southpark Towers, Suite 1200, Charlotte, NC 28210September 17, 2003 - May 17, 2004
BANC ONE CAPITAL MARKETS, INC.
September 21, 1989 - December 14, 1990
CM&M FUTURES INC.
September 21, 1989 - September 16, 2003
HSBC SECURITIES (USA) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/28/2005)
(3/30/2023)
(5/24/2004)
(6/2/2004)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 12
Date: 1/12/2005
NYSE Branch Manager ExaminationFINRA
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
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