Holly Eloise Dito
Professional Summary
Holly Eloise Dito, who also goes by Holly E. Dito, Holly Dito, Holly Eloise Giuliano, is a registered financial advisor currently at DAIWA CAPITAL MARKETS AMERICA INC. located in Iselin, New Jersey. Holly is registered as a RR (Registered Representative) and started their career in finance in 1991. Holly has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Holly E. Dito, Holly Dito, Holly Eloise Giuliano
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
DAIWA CAPITAL MARKETS AMERICA INC. | DAIWA SECURITIES AMERICA INC.
Contact Information
Main Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020Mailing Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020Phone Number
(212) 612-7000Established
New York since 12/08/1964Firm Type
CorporationFiscal Year End
MarchFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | — |
| DITO, HOLLY ELOISE | EXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER | 2155924 |
| MACHIDA, KEIJI | CHAIRMAN | 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 |
| YAMAGUCHI, DAISUKE | PRESIDENT & CEO (BOARD OF DIRECTORS) | 8281962 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(12/10/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Aug 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Sep 1999Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jul 1993SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Holly Eloise Dito's CRS (Customer Relationship Summary).
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