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LM

Lawrence B. Moses

DAIWA CAPITAL MARKETS AMERICA
Iselin, NJ 08830
Some features on this profile are disabled
CRD#: 2075881
LM

Professional summary

Lawrence Bradley Moses, who also goes by Larry Moses, Lawrence Moses, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in Iselin, New Jersey.

Lawrence is registered as a RR (Registered Representative) and started their career in finance in 1994. Lawrence has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Larry Moses | Lawrence Moses

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lawrence Bradley Moses'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®
None

Experience

Current

September 22, 2014 - Present

DAIWA CAPITAL MARKETS AMERICA INC.

Office #1: 101 South Wood Ave. 4th Floor, Iselin, NJ, 08830
BD
CRD#: 1576
Iselin, NJ
Past

March 1, 2013 - March 10, 2014

CLSA AMERICAS, LLC

BD
CRD#: 165533
NEW YORK, NY
Past

July 18, 2007 - June 7, 2013

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

July 11, 2002 - May 25, 2007

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK, NY
Past

July 17, 2000 - June 19, 2002

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

June 16, 1999 - August 8, 2000

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

August 13, 1997 - October 12, 1998

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

January 1, 1996 - July 25, 1997

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

August 16, 1994 - January 1, 1996

JAMES CAPEL INCORPORATED

BD
CRD#: 15390

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
(9/24/2014)
RR
California
(9/24/2014)
RR
Colorado
(9/24/2014)
RR
Connecticut
(9/24/2014)
RR
Delaware
(9/24/2014)
RR
District of Columbia
(11/25/2024)
RR
Florida
(9/24/2014)
RR
Georgia
(9/24/2014)
RR
Illinois
(9/24/2014)
RR
Iowa
(9/24/2014)
RR
Kansas
(9/24/2014)
RR
Kentucky
(9/24/2014)
RR
Maryland
(9/24/2014)
RR
Massachusetts
(9/24/2014)
RR
Minnesota
(9/24/2014)
RR
Missouri
(9/24/2014)
RR
New Hampshire
(5/13/2016)
RR
New Jersey
(9/24/2014)
RR
New Mexico
(9/24/2014)
RR
New York
(9/22/2014)
RR
North Carolina
(11/27/2019)
RR
Ohio
(9/24/2014)
RR
Oregon
(11/25/2024)
RR
Pennsylvania
(9/24/2014)
RR
Rhode Island
(9/24/2014)
RR
Tennessee
(1/25/2017)
RR
Texas
(9/24/2014)
RR
Utah
(11/3/2014)
RR
Virginia
(9/24/2014)
RR
Washington
(9/24/2014)
RR
Wisconsin
(9/24/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 2/6/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 7/5/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/15/1994
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC.SHAREHOLDER
GREFE, JOHN HERBERT IIIEXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER3275699
MACHIDA, KEIJIPRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR)7273228
PARRY, GEORGE LCFO / TREASURER3221390
SAMBONGI, TOHRUMANAGING DIRECTOR / CO-HEAD OF FIXED INCOME7302894
UEJIMA, EIJIMANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION8039040
YAMAUCHI, MASAHIRODEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS7920876

Disclosures

Regulatory Event30

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.

Company Information

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576Iselin, NJ 08830

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