JG
John P. Gorham
NOMURA SECURITIES INTERNATIONAL
New York, NY 10019
Some features on this profile are disabled
CRD#: 2054471
JG
Professional summary
John Patrick Gorham JR is a registered financial professional currently at NOMURA SECURITIES INTERNATIONAL, INC. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1991. John has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 John Patrick Gorham JR'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
August 19, 2019 - Present
NOMURA SECURITIES INTERNATIONAL, INC.
Office #1: Worldwide Plaza 309 West 49th Street, New York, NY 10019Office #2: Kingsbrook 5 International Drive, Rye Brook, NY 10573RIA
BD
CRD#: 4297
New York, NY
Past
July 27, 2016 - November 30, 2017
NATIXIS SECURITIES AMERICAS LLC
BD
CRD#: 1101
NEW YORK, NY
Past
June 19, 2014 - July 13, 2016
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
May 16, 2007 - March 27, 2013
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
March 11, 2004 - April 19, 2006
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
July 8, 2002 - March 8, 2004
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
June 7, 1999 - January 28, 2002
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
September 27, 1991 - June 7, 1999
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NOMURA SECURITIES INTERNATIONAL, INC.
NOMURA SECURITIES INTERNATIONAL INC | NOMURA SECURITIES INTERNATIONAL, INC.
CRD#: 4297 / SEC#: 801-72991, 8-15255
RIA
Registered Investment Advisory firm - SEC (4/3/2012 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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(8/19/2019)
RR
Alaska(8/19/2019)
RR
Arizona(8/19/2019)
RR
Arkansas(8/19/2019)
RR
California(8/19/2019)
RR
Colorado(8/19/2019)
RR
Connecticut(8/19/2019)
RR
Delaware(8/19/2019)
RR
District of Columbia(8/19/2019)
RR
Florida(8/19/2019)
RR
Georgia(8/19/2019)
RR
Hawaii(8/19/2019)
RR
Idaho(8/19/2019)
RR
Illinois(8/19/2019)
RR
Indiana(8/19/2019)
RR
Iowa(8/19/2019)
RR
Kansas(8/19/2019)
RR
Kentucky(8/19/2019)
RR
Louisiana(8/19/2019)
RR
Maine(8/19/2019)
RR
Maryland(8/19/2019)
RR
Massachusetts(8/19/2019)
RR
Michigan(8/19/2019)
RR
Minnesota(8/19/2019)
RR
Mississippi(8/19/2019)
RR
Missouri(8/19/2019)
RR
Montana(8/19/2019)
RR
Nebraska(8/19/2019)
RR
Nevada(8/19/2019)
RR
New Hampshire(8/19/2019)
RR
New Jersey(8/19/2019)
RR
New Mexico(8/19/2019)
RR
New York(8/19/2019)
RR
North Carolina(8/19/2019)
RR
North Dakota(8/19/2019)
RR
Ohio(8/20/2019)
RR
Oklahoma(8/19/2019)
RR
Oregon(8/19/2019)
RR
Pennsylvania(8/19/2019)
RR
Puerto Rico(8/19/2019)
RR
Rhode Island(8/19/2019)
RR
South Carolina(8/19/2019)
RR
South Dakota(8/19/2019)
RR
Tennessee(8/19/2019)
RR
Texas(8/19/2019)
RR
Utah(8/19/2019)
RR
Vermont(8/19/2019)
RR
Virginia(8/19/2019)
RR
Washington(8/19/2019)
RR
West Virginia(8/19/2019)
RR
Wisconsin(8/19/2019)
RR
Wyoming(8/19/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
NOMURA SECURITIES INTERNATIONAL, INC.
NOMURA SECURITIES INTERNATIONAL INC | NOMURA SECURITIES INTERNATIONAL, INC.
CRD#: 4297 / SEC#: 801-72991, 8-15255
RIA
Registered Investment Advisory firm - SEC (4/3/2012 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Worldwide Plaza 309 West 49th Street 309 West 49th Street, New York, NY, 10019-7316
Mailing Address
Worldwide Plaza 309 West 49th Street, New York, NY, 10019
Phone number
(212) 667-9000
Established
New York since 09/12/1969
Firm type
Corporation
Fiscal year end
March
Firm Size
Large
# of Employees
11
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NOMURA HOLDING AMERICA, INC. | SHAREHOLDER | |
| ALOUPIS, STEVEN NICHOLAS | CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR | 2498339 |
| CHIULLI, EUGENE JAMES | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER & MANAGING DIRECTOR | 2976702 |
| DUMARK, GREGORY JAMES | CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR | 5593904 |
| GIANCARLO, JAMES CHRISTOPHER | BOARD OF DIRECTORS | 7414068 |
| HUGHES, WILLIAM FRANCIS JR | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER & MANAGING DIRECTOR | 1666328 |
| KAWAMURA, SATOSHI | EXECUTIVE CHAIRMAN OF BOARD | 7533044 |
| PRIMIANO, VINCENT ANTHONY | CHIEF EXECUTIVE OFFICER, PRESIDENT & SENIOR MANAGING DIRECTOR | 2123603 |
| WEBB, FARON ROSS | CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR | 2452057 |
Disclosures
| Regulatory Event | 83 |
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.
