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RG

Roger A. Grimming

DAIWA CAPITAL MARKETS AMERICA
New York, NY 10020
Some features on this profile are disabled
CRD#: 4147861
RG

Professional summary

Roger A Grimming is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in New York, New York.

Roger is registered as a RR (Registered Representative) and started their career in finance in 2000. Roger has worked at 9 firms and has passed the Series 66, SIE and Series 7 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) - BD

Click below to view Roger A Grimming's CRS (Customer Relationship Summary).

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

Current

May 1, 2025 - Present

DAIWA CAPITAL MARKETS AMERICA INC.

Office #1: 1251 Avenue Of The Americas, New York, NY 10020
BD
CRD#: 1576
New York, NY
Past

September 1, 2018 - March 28, 2025

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
Boca Raton, FL
Past

October 14, 2014 - September 1, 2018

KGS-ALPHA CAPITAL MARKETS, L.P.

BD
CRD#: 151705
Boca Ratn, FL
Past

May 1, 2014 - September 29, 2014

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
MIAMI, FL
Past

December 23, 2013 - May 5, 2014

BB&T SECURITIES, LLC

BD
CRD#: 142785
BOCA RATON, FL
Past

September 10, 2012 - December 26, 2013

INSPEREX LLC

BD
CRD#: 101420
BOCA RATON, FL
Past

January 17, 2003 - September 12, 2012

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
FORT LAUDERDALE, FL
Past

January 29, 2001 - February 14, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

August 28, 2000 - December 15, 2000

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 28, 2000 - December 15, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(9/29/2025)
RR
California
(5/1/2025)
RR
District of Columbia
(5/5/2025)
RR
Florida
(5/1/2025)
RR
Massachusetts
(5/1/2025)
RR
Minnesota
(9/4/2025)
RR
New York
(5/1/2025)
RR
Wisconsin
(7/25/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/7/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

DC
DAIWA CAPITAL MARKETS AMERICA INC.
DAIWA CAPITAL MARKETS AMERICA INC. | DAIWA SECURITIES AMERICA INC.

CRD#: 1576 / SEC#: , 8-12242

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020
Mailing Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020
Phone number
(212) 612-7000
Established
New York since 12/08/1964
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC.SHAREHOLDER
GREFE, JOHN HERBERT IIIEXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER3275699
MACHIDA, KEIJIPRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR)7273228
PARRY, GEORGE LCFO / TREASURER3221390
SAMBONGI, TOHRUMANAGING DIRECTOR / CO-HEAD OF FIXED INCOME7302894
UEJIMA, EIJIMANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION8039040
YAMAUCHI, MASAHIRODEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS7920876

Disclosures

Regulatory Event30

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

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576New York, NY 10020

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