Eugene James Eignor
Professional Summary
Eugene James Eignor is a registered financial advisor currently at NOMURA CAPITAL MANAGEMENT LLC located in Philadelphia, Pennsylvania and DELAWARE DISTRIBUTORS, L.P. located in Philadelphia, Pennsylvania. Eugene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Eugene has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
NOMURA CAPITAL MANAGEMENT LLC | NOMURA PRIVATE CAPITAL LLC
Contact Information
Main Address
309 West 49th Street, New York, NY 10019Phone Number
(212) 667-9996# of Employees
167SEC notice filing (23 States and Territories)
Registered to provide investment advisory services in 23 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
2AUM (Assets Under Management)
$651,318,871Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
NOMURA CAPITAL MANAGEMENT LLC | NOMURA PRIVATE CAPITAL LLC
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Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1998About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Eugene James Eignor's CRS (Customer Relationship Summary).
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