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PL

Paul C. Lutton

Some features on this profile are disabled
CRD#: 2659759
PL

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.

Paul Christopher Lutton was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1995. Paul had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 23, 2010 - October 7, 2015

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
SAN FRANCISCO, CA
Past

July 18, 2008 - August 20, 2010

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
SAN FRANCISCO, CA
Past

May 12, 2005 - August 20, 2008

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
SAN FRANCISCO, CA
Past

November 3, 2000 - March 14, 2005

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

September 6, 1995 - January 11, 1996

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NOMURA SECURITIES INTERNATIONAL, INC.
NOMURA SECURITIES INTERNATIONAL, INC.
NOMURA SECURITIES INTERNATIONAL INC | NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297 / SEC#: 801-72991, 8-15255

RIA
Registered Investment Advisory firm - SEC (4/3/2012 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

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: 1/4/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/7/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/31/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/1/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/21/2011
General Securities Principal Examination

Current Firm

NOMURA SECURITIES INTERNATIONAL, INC.
NOMURA SECURITIES INTERNATIONAL, INC.
NOMURA SECURITIES INTERNATIONAL INC | NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297 / SEC#: 801-72991, 8-15255

RIA
Registered Investment Advisory firm - SEC (4/3/2012 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
Worldwide Plaza 309 West 49th Street 309 West 49th Street, New York, NY, 10019-7316
Mailing Address
Worldwide Plaza 309 West 49th Street, New York, NY, 10019
Phone number
(212) 667-9000
Established
New York since 09/12/1969
Firm type
Corporation
Fiscal year end
March
Firm Size
Large
# of Employees
11

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

NSI FORM ADV PART2A ANNUAL (7/14/2025)

Direct owners and executive officers

NamePositionCRD#
NOMURA HOLDING AMERICA, INC.SHAREHOLDER
ALOUPIS, STEVEN NICHOLASCO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR2498339
CHIULLI, EUGENE JAMESCHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER & MANAGING DIRECTOR2976702
DUMARK, GREGORY JAMESCHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR5593904
GIANCARLO, JAMES CHRISTOPHERBOARD OF DIRECTORS7414068
HUGHES, WILLIAM FRANCIS JRCHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER & MANAGING DIRECTOR1666328
KAWAMURA, SATOSHIEXECUTIVE CHAIRMAN OF BOARD7533044
PRIMIANO, VINCENT ANTHONYCHIEF EXECUTIVE OFFICER, PRESIDENT & SENIOR MANAGING DIRECTOR2123603
WEBB, FARON ROSSCHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR2452057

Disclosures

Regulatory Event83

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.

Company Information

NOMURA SECURITIES INTERNATIONAL, INC.

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

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