EL
Edward S. Lippman
DAIWA CAPITAL MARKETS AMERICA
New York, NY 10020
Some features on this profile are disabled
CRD#: 2238435
EL
Professional summary
Edward Stuart Lippman, who also goes by Ed Lippman, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in New York, New York.
Edward is registered as a RR (Registered Representative) and started their career in finance in 1992. Edward has worked at 10 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 3, Series 55, Series 25, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ed Lippman
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 Edward Stuart Lippman'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
October 23, 2017 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
Office #1: 1251 Avenue Of The Americas, New York, NY 10020BD
CRD#: 1576
New York, NY
Past
April 24, 2014 - October 26, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
April 19, 1999 - April 14, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 2, 1997 - June 25, 1999
SBC WARBURG DILLON READ INC.
BD
CRD#: 1650
STAMFORD, CT
Past
May 22, 1997 - July 8, 1999
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
April 30, 1997 - May 22, 1997
SBC WARBURG, INC.
BD
CRD#: 23745
NEW YORK, NY
Past
September 28, 1995 - April 28, 1997
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 10, 1992 - March 31, 1994
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
NEW YORK, NY
Past
July 20, 1992 - September 18, 1992
A.J. MICHAELS & CO., LTD.
BD
CRD#: 19883
HAUPPAUGE, NY
Past
July 20, 1992 - November 4, 1992
J. M. WALKER INTERNATIONAL, INC.
BD
CRD#: 19236
HAUPPAUGE, NY
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(10/23/2017)
RR
Arizona(10/23/2017)
RR
Arkansas(10/23/2017)
RR
California(10/23/2017)
RR
Colorado(10/23/2017)
RR
Connecticut(10/23/2017)
RR
Delaware(10/23/2017)
RR
District of Columbia(10/23/2017)
RR
Florida(10/23/2017)
RR
Georgia(10/23/2017)
RR
Hawaii(10/23/2017)
RR
Idaho(10/23/2017)
RR
Illinois(10/23/2017)
RR
Indiana(10/23/2017)
RR
Iowa(10/23/2017)
RR
Kansas(10/23/2017)
RR
Kentucky(10/23/2017)
RR
Louisiana(10/23/2017)
RR
Maine(10/23/2017)
RR
Maryland(10/23/2017)
RR
Massachusetts(10/23/2017)
RR
Michigan(10/23/2017)
RR
Minnesota(10/23/2017)
RR
Mississippi(10/23/2017)
RR
Missouri(10/23/2017)
RR
Montana(10/23/2017)
RR
Nebraska(10/23/2017)
RR
Nevada(10/23/2017)
RR
New Hampshire(10/23/2017)
RR
New Jersey(10/23/2017)
RR
New Mexico(10/23/2017)
RR
New York(10/23/2017)
RR
North Carolina(10/24/2017)
RR
Ohio(10/23/2017)
RR
Oklahoma(10/23/2017)
RR
Oregon(10/23/2017)
RR
Pennsylvania(10/23/2017)
RR
Rhode Island(10/23/2017)
RR
South Carolina(10/23/2017)
RR
Tennessee(10/23/2017)
RR
Texas(10/23/2017)
RR
Utah(10/23/2017)
RR
Vermont(10/23/2017)
RR
Virginia(10/23/2017)
RR
Washington(10/23/2017)
RR
West Virginia(10/23/2017)
RR
Wisconsin(10/23/2017)
RR
Wyoming(10/23/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/3/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 25
Date: 10/12/1999
NYSE Trading Assistant ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)
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
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)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | |
| AIZAWA, GAKU | MANAGING DIRECTOR / MEMBER OF THE BOARD OF DIRECTORS | 1763967 |
| 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
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.
