Scott C. Kerester
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.
Scott Charles Kerester was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1987. Scott had worked at 9 firms and has passed the Series 63, SIE, 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
August 31, 2018 - January 28, 2025
DAIWA CAPITAL MARKETS AMERICA INC.
March 25, 2013 - May 2, 2018
TD SECURITIES (USA) LLC
February 29, 2008 - March 5, 2013
RBC CAPITAL MARKETS, LLC
November 29, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
March 22, 2004 - October 26, 2007
NOMURA SECURITIES INTERNATIONAL, INC.
January 8, 2001 - April 6, 2004
HSBC SECURITIES (USA) INC.
March 21, 2000 - October 16, 2000
PERSHING LLC
September 23, 1993 - March 14, 2000
AUBREY G. LANSTON & CO., INC.
February 21, 1989 - December 14, 1990
CM&M FUTURES INC.
July 25, 1987 - April 6, 1993
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
Exams
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 | |
| AIZAWA, GAKU | MANAGING DIRECTOR / MEMBER OF THE BOARD OF DIRECTORS | 1763967 |
| 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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