Faris S. Al Nabulsi
Professional summary
Faris Shaker Al Nabulsi, who also goes by Faris Shaker Alnabulsi, Faris Al Nabulsi, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in New York, New York.
Faris is registered as a RR (Registered Representative) and started their career in finance in 1994. Faris has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Faris Shaker Al Nabulsi's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 8, 2016 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
Office #1: 1251 Avenue Of The Americas, New York, NY 10020August 23, 2010 - June 28, 2016
FHN FINANCIAL SECURITIES CORP.
January 3, 2008 - August 20, 2010
MORGAN KEEGAN & COMPANY, LLC
January 12, 2006 - July 6, 2007
NEWEDGE USA, LLC
August 30, 2000 - September 6, 2005
WEDBUSH SECURITIES INC.
April 27, 1994 - November 20, 2000
HARVESTONS 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
(2/11/2021)
(6/3/2021)
(3/20/2017)
(9/11/2023)
(8/12/2016)
(11/4/2024)
(9/15/2017)
(11/15/2021)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
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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