William Francis Hughes Jr
Professional Summary
William Francis Hughes JR is a registered financial advisor currently at NOMURA SECURITIES INTERNATIONAL, INC. located in New York, New York. William is registered as a RR (Registered Representative) and started their career in finance in 1987. William has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
NOMURA SECURITIES INTERNATIONAL INC | NOMURA SECURITIES INTERNATIONAL, INC.
Contact Information
Main Address
Worldwide Plaza 309 West 49th Street 309 West 49th Street, New York, NY, 10019-7316Mailing Address
Worldwide Plaza 309 West 49th Street, New York, NY, 10019Phone Number
(212) 667-9000Established
New York since 09/12/1969Firm Type
CorporationFiscal Year End
MarchFirm Size
Large# of Employees
14FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NOMURA HOLDING AMERICA, INC. | SHAREHOLDER | — |
| ALOUPIS, STEVEN NICHOLAS | BOARD OF DIRECTORS | 2498339 |
| CHIULLI, EUGENE JAMES | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER & MANAGING DIRECTOR | 2976702 |
| DEL PUERTO, FERNANDO JAVIER | CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR | 3168661 |
| JOYCE, JOSEPH ANDREW | CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR | 3123657 |
| 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
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
NOMURA SECURITIES INTERNATIONAL INC | NOMURA SECURITIES INTERNATIONAL, INC.
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view William Francis Hughes JR's CRS (Customer Relationship Summary).
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