Craig H. Sulzburgh
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.
Craig Howard Sulzburgh, who also goes by Craig Sulzburgh, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 2008. Craig had worked at 2 firms and has passed the Series 63, Series 65, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2019 - January 8, 2020
NOMURA GREENTECH CAPITAL ADVISORS, LLC
October 15, 2009 - February 11, 2010
NEUBERGER BERMAN BD LLC
July 24, 2008 - February 11, 2010
NEUBERGER BERMAN BD LLC
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 79TO
Date: 9/25/2019
Investment Banking Registered Representative ExaminationCurrent Firm
NOMURA GREENTECH CAPITAL ADVISORS, LLC
CRD#: 149644 / SEC#: , 8-68158
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NOMURA HOLDINGS INC | PARENT COMPANY | |
| DELPUERTO, FERNANDO JAVIER | CHIEF COMPLIANCE OFFICER | 3168661 |
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.
