Pallavi B. Nambiar
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.
Pallavi Balan Nambiar, who also goes by Pallavi Balan Kuriyedath, was a registered financial professional .
Pallavi is a previously registered financial professional and started their career in finance in 2003. Pallavi had worked at 6 firms and has passed the Series 66, 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 28, 2011 - June 26, 2013
NOMURA SECURITIES INTERNATIONAL, INC.
May 1, 2009 - March 8, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 10, 2006 - May 21, 2009
BANC OF AMERICA SECURITIES LLC
December 10, 2004 - July 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 10, 2004 - July 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 16, 2003 - August 10, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
July 4, 2003 - August 10, 2004
IDS LIFE INSURANCE COMPANY
July 4, 2003 - August 10, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
NOMURA SECURITIES INTERNATIONAL, INC.
CRD#: 4297 / SEC#: 801-72991, 8-15255
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
NOMURA SECURITIES INTERNATIONAL, INC.
CRD#: 4297 / SEC#: 801-72991, 8-15255
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NOMURA HOLDING AMERICA, INC. | SHAREHOLDER | |
| ALOUPIS, STEVEN NICHOLAS | CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR | 2498339 |
| CHIULLI, EUGENE JAMES | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER & MANAGING DIRECTOR | 2976702 |
| DUMARK, GREGORY JAMES | CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR | 5593904 |
| GIANCARLO, JAMES CHRISTOPHER | BOARD OF DIRECTORS | 7414068 |
| HUGHES, WILLIAM FRANCIS JR | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER & MANAGING DIRECTOR | 1666328 |
| KAWAMURA, SATOSHI | EXECUTIVE CHAIRMAN OF BOARD | 7533044 |
| PRIMIANO, VINCENT ANTHONY | CHIEF EXECUTIVE OFFICER, PRESIDENT & SENIOR MANAGING DIRECTOR | 2123603 |
| WEBB, FARON ROSS | CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR | 2452057 |
Disclosures
| Regulatory Event | 83 |
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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