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RC

Robert J. Cipriano

DAIWA CAPITAL MARKETS AMERICA
Iselin, NJ 08830
Some features on this profile are disabled
CRD#: 2267167
RC

Professional summary

Robert John Cipriano, who also goes by Robert Cipriano, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in Iselin, New Jersey.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2019. Robert has worked at 2 firms and has passed the Series 63, SIE, Series 99 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert Cipriano

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 Robert John Cipriano'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

January 10, 2024 - Present

DAIWA CAPITAL MARKETS AMERICA INC.

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

January 3, 2019 - January 4, 2024

ABN AMRO SECURITIES (USA) LLC

BD
CRD#: 151796
NEW BRUNSWICK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/11/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/3/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 1/3/2019
Operations Professional Examination
General Industry/Product Exam
RR
Series 7
Date: 8/29/1992
General Securities Representative Examination
SRO Registrations
RR
FINRA

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.

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Company Information

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576Iselin, NJ 08830

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