PD
Paul V. Demarco
DAIWA CAPITAL MARKETS AMERICA
Cliffside Park, NJ
Some features on this profile are disabled
CRD#: 1764577
PD
Professional summary
Paul Vincent Demarco, who also goes by Paul Demarco Jr, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in Cliffside Park, New Jersey.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1987. Paul has worked at 6 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 3, SIE, Series 55, Series 7, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Paul Demarco Jr
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.
CRS (Client Relationship Summary) - BD
Click below to view Paul Vincent Demarco's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 5, 2002 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
Office #2: 101 South Wood Ave. 4th Floor, Iselin, NJ, 08830BD
CRD#: 1576
Cliffside Park, NJ
Past
March 18, 1998 - November 5, 2002
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
May 27, 1997 - February 9, 1998
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
March 20, 1997 - May 20, 1997
NATWEST SECURITIES CORPORATION
BD
CRD#: 18238
NEW YORK, NY
Past
April 9, 1990 - June 28, 1995
ROBERT FLEMING INC.
BD
CRD#: 1711
NEW YORK, NY
Past
December 4, 1987 - March 6, 1990
YAMAICHI INTERNATIONAL (AMERICA) INC.
BD
CRD#: 909
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(6/13/2003)
RR
Arizona(8/15/2014)
RR
Arkansas(1/31/2006)
RR
California(12/10/2002)
RR
Colorado(5/21/2013)
RR
Connecticut(2/4/2003)
RR
Delaware(12/11/2002)
RR
District of Columbia(1/30/2006)
RR
Florida(6/10/2016)
RR
Georgia(8/13/2003)
RR
Hawaii(7/16/2003)
RR
Idaho(1/30/2006)
RR
Illinois(1/9/2003)
RR
Indiana(1/31/2006)
RR
Iowa(1/31/2006)
RR
Kansas(1/27/2006)
RR
Kentucky(1/30/2006)
RR
Louisiana(2/2/2006)
RR
Maine(2/12/2014)
RR
Maryland(2/2/2006)
RR
Massachusetts(2/7/2003)
RR
Michigan(11/8/2013)
RR
Minnesota(12/17/2002)
RR
Mississippi(2/16/2006)
RR
Missouri(1/27/2014)
RR
Montana(11/8/2013)
RR
Nebraska(6/24/2016)
RR
Nevada(8/19/2003)
RR
New Hampshire(2/11/2014)
RR
New Jersey(12/9/2002)
RR
New Mexico(11/15/2013)
RR
New York(1/3/2003)
RR
North Carolina(1/31/2006)
RR
Ohio(8/13/2003)
RR
Oklahoma(1/30/2006)
RR
Oregon(1/31/2006)
RR
Pennsylvania(12/13/2002)
RR
Rhode Island(2/2/2006)
RR
South Carolina(1/30/2006)
RR
Tennessee(2/2/2006)
RR
Texas(5/29/2013)
RR
Utah(1/27/2006)
RR
Vermont(1/31/2006)
RR
Virginia(1/27/2006)
RR
Washington(1/27/2006)
RR
West Virginia(1/27/2006)
RR
Wisconsin(12/11/2002)
RR
Wyoming(1/27/2006)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/6/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
DC
DAIWA CAPITAL MARKETS AMERICA INC.
DAIWA CAPITAL MARKETS AMERICA INC. | DAIWA SECURITIES AMERICA INC.
CRD#: 1576 / SEC#: , 8-12242
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020
Mailing Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020
Phone number
(212) 612-7000
Established
New York since 12/08/1964
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
