Shinobu Mochizuki
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.
Shinobu Mochizuki was a registered financial professional .
Shinobu is a previously registered financial professional and started their career in finance in 1993. Shinobu had worked at 7 firms and has passed the Series 63, 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
January 9, 2003 - May 11, 2017
DAIWA CAPITAL MARKETS AMERICA INC.
July 30, 2002 - December 6, 2002
COMMERZBANK CAPITAL MARKETS CORP.
October 20, 1999 - August 23, 2001
COMMERZ MARKETS LLC
March 13, 1997 - October 13, 1999
HSBC SECURITIES (USA) INC.
June 1, 1995 - January 15, 1997
NEW JAPAN SECURITIES INTERNATIONAL INC.
November 26, 1994 - April 19, 1995
SANFORD C. BERNSTEIN & CO., INC.
August 31, 1993 - July 22, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 | |
| 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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