BG
Brent W. Giese
DAIWA CAPITAL MARKETS AMERICA
New York, NY 10020
Some features on this profile are disabled
CRD#: 1796496
BG
Professional summary
Brent William Giese, who also goes by Brent Giese, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in New York, New York.
Brent is registered as a RR (Registered Representative) and started their career in finance in 1988. Brent has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brent Giese
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 Brent William Giese'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
June 27, 2011 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
Office #1: 1251 Avenue Of The Americas, New York, NY 10020BD
CRD#: 1576
New York, NY
Past
March 18, 2010 - June 8, 2011
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
NEW YORK, NY
Past
February 10, 2009 - April 6, 2010
MVCG SECURITIES, LLC
BD
CRD#: 148275
NEW YORK, NY
Past
April 15, 1998 - June 12, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
June 12, 1992 - March 17, 1998
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
February 23, 1988 - June 19, 1992
JPMSI
BD
CRD#: 15733
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
Alabama(7/26/2011)
RR
Alaska(3/22/2017)
RR
Arizona(10/16/2014)
RR
Arkansas(3/22/2017)
RR
California(7/26/2011)
RR
Colorado(7/26/2011)
RR
Connecticut(7/26/2011)
RR
Delaware(3/22/2017)
RR
District of Columbia(1/19/2016)
RR
Florida(7/26/2011)
RR
Georgia(7/26/2011)
RR
Hawaii(3/22/2017)
RR
Idaho(3/22/2017)
RR
Illinois(7/26/2011)
RR
Indiana(3/26/2014)
RR
Iowa(3/15/2016)
RR
Kansas(8/22/2014)
RR
Kentucky(3/28/2016)
RR
Louisiana(12/20/2011)
RR
Maine(3/22/2017)
RR
Maryland(7/26/2011)
RR
Massachusetts(7/26/2011)
RR
Michigan(7/26/2011)
RR
Minnesota(7/26/2011)
RR
Mississippi(1/12/2017)
RR
Missouri(7/26/2011)
RR
Montana(3/22/2017)
RR
Nebraska(3/22/2017)
RR
Nevada(3/22/2017)
RR
New Hampshire(7/3/2012)
RR
New Jersey(7/26/2011)
RR
New Mexico(1/30/2017)
RR
New York(6/27/2011)
RR
North Carolina(7/27/2011)
RR
North Dakota(10/19/2016)
RR
Ohio(7/27/2011)
RR
Oklahoma(10/11/2016)
RR
Oregon(3/22/2017)
RR
Pennsylvania(7/26/2011)
RR
Puerto Rico(1/18/2018)
RR
Rhode Island(8/10/2016)
RR
South Carolina(3/22/2017)
RR
South Dakota(3/22/2017)
RR
Tennessee(12/19/2011)
RR
Texas(7/26/2011)
RR
Utah(4/18/2012)
RR
Vermont(3/22/2017)
RR
Virginia(7/26/2011)
RR
Washington(12/20/2011)
RR
West Virginia(3/22/2017)
RR
Wisconsin(5/23/2013)
RR
Wyoming(3/22/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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 | |
| 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.
