John H. Grefe
Professional summary
John Herbert Grefe III, who also goes by John Herbert Grefe, John Herbert III Grefe, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1999. John has worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 6, Series 14, Series 27, Series 9, Series 10, Series 4, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Herbert Grefe III's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 22, 2023 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
Office #1: 1251 Avenue Of The Americas, New York, NY 10020September 9, 2013 - June 2, 2023
LLOYDS SECURITIES
July 30, 2012 - September 10, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
April 30, 2010 - August 7, 2012
BARCLAYS CAPITAL INC.
April 30, 2010 - August 7, 2012
BARCLAYS CAPITAL INC.
January 1, 2010 - April 30, 2010
UBS FINANCIAL SERVICES INC.
January 1, 2010 - April 30, 2010
UBS FINANCIAL SERVICES INC.
August 23, 2006 - January 1, 2010
UBS INTERNATIONAL INC.
August 23, 2006 - January 1, 2010
UBS INTERNATIONAL INC.
December 1, 2005 - August 18, 2006
BNY INVESTMENT CENTER INC.
November 3, 2005 - August 18, 2006
BNY INVESTMENT CENTER INC.
October 20, 2004 - November 2, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - November 2, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 7, 2004 - October 20, 2004
QUICK & REILLY, INC.
January 7, 2004 - October 20, 2004
QUICK & REILLY, INC.
June 16, 2003 - January 2, 2004
ESSEX NATIONAL SECURITIES, LLC
September 20, 1999 - January 2, 2004
ESSEX NATIONAL SECURITIES, LLC
August 19, 1999 - September 13, 1999
SIGNATOR INVESTORS, 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
(5/22/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/13/2005
Limited Representative-Equity Trader ExamFINRA
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
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.
