Steven O. Palmer
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.
Steven Omar Palmer was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2021 - April 13, 2022
DAIWA CAPITAL MARKETS AMERICA INC.
January 16, 2019 - February 24, 2021
BOK FINANCIAL SECURITIES, INC.
May 9, 2016 - January 18, 2019
KEYBANC CAPITAL MARKETS INC.
January 4, 2016 - May 4, 2016
NATHAN HALE CAPITAL, LLC
January 20, 2011 - May 19, 2015
BNY MELLON CAPITAL MARKETS, LLC
July 16, 2009 - February 7, 2011
HILLTOP SECURITIES INC.
October 1, 2008 - July 24, 2009
J.P. MORGAN SECURITIES LLC
July 13, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
August 2, 2002 - June 23, 2006
FHN FINANCIAL SECURITIES CORP.
May 18, 1998 - July 30, 2002
AMHERST SECURITIES GROUP, L.P.
July 24, 1996 - May 22, 1998
HSBC SECURITIES (USA) INC.
September 12, 1995 - November 6, 1995
HILLIARD FARBER SECURITIES CORP.
September 12, 1995 - November 6, 1995
DEALERWEB LLC
January 10, 1994 - November 29, 1994
J.P. MORGAN SECURITIES INC.
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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