William F. Sylvia
Professional summary
William Frederick Sylvia, who also goes by Will Sylvia, William Frederick Sylvia Mr., William Frederick Sylvia, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 1996. William has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 72 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Frederick Sylvia's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 15, 2024 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
Office #1: 1251 Avenue Of The Americas, New York, NY 10020September 1, 2018 - November 8, 2023
BMO CAPITAL MARKETS CORP.
January 17, 2018 - September 1, 2018
KGS-ALPHA CAPITAL MARKETS, L.P.
September 2, 2004 - February 15, 2016
BARCLAYS CAPITAL INC.
July 31, 2003 - August 13, 2004
CITIGROUP GLOBAL MARKETS INC.
May 5, 1999 - April 17, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 16, 1999 - April 12, 1999
VINING-SPARKS IBG, LLC
April 26, 1996 - March 23, 1999
INTL FCSTONE PARTNERS L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/17/2024)
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(5/22/2025)
(4/28/2025)
(7/15/2024)
(7/17/2024)
(7/18/2024)
(11/21/2024)
(7/17/2024)
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Exams
Series 72
Date: 8/31/1998
Government 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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