Hector B. Paredes
Professional summary
Hector B Paredes, who also goes by Hector B Paredes, Hector Braulio Paredes Jr, Hector Braulio Paredes, is a registered financial professional currently at NOMURA SECURITIES INTERNATIONAL, INC. located in New York, New York.
Hector is registered as a RR (Registered Representative) and started their career in finance in 1997. Hector has worked at 6 firms and has passed the Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Hector B Paredes's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 25, 2026 - Present
NOMURA SECURITIES INTERNATIONAL, INC.
Office #1: Worldwide Plaza 309 West 49th Street, New York, NY 10019March 10, 2016 - January 3, 2023
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
March 5, 2015 - March 22, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
September 22, 2008 - March 7, 2014
BARCLAYS CAPITAL INC.
June 21, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
October 10, 1997 - March 2, 2007
UBS SECURITIES LLC
February 5, 1997 - September 23, 1997
JEFFERIES LLC
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 99TO
Date: 6/25/2026
Operations Professional ExaminationFINRA
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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