SP
Sanjay B. Patel
NOMURA SECURITIES INTERNATIONAL
NEW YORK, NY 10019
CRD#: 4579817
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SP
Sanjay B PatelNOMURA SECURITIES INTERNATIONAL
Professional summary
Sanjay B Patel, who also goes by Sanjay Babubhai Patel, is a registered financial professional currently at NOMURA SECURITIES INTERNATIONAL, INC. located in New York, New York.
Sanjay is registered as a RR (Registered Representative) and started their career in finance in 2010. Sanjay has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sanjay Babubhai Patel
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.
CRS (Client Relationship Summary) - BD
Click below to view Sanjay B Patel'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®
NoneExperience
Current
November 16, 2021 - Present
NOMURA SECURITIES INTERNATIONAL, INC.
Office #1: Worldwide Plaza 309 West 49th Street, New York, NY 10019Office #2: Kingsbrook 5 International Drive, Rye Brook, NY 10573RIA
BD
CRD#: 4297
NEW YORK, NY
Past
July 8, 2020 - November 19, 2021
KROLL SECURITIES LLC
BD
CRD#: 36927
NEW YORK, NY
Past
May 10, 2012 - June 15, 2019
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
NEW YORK, NY
Past
October 5, 2010 - March 16, 2012
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NOMURA SECURITIES INTERNATIONAL, INC.
NOMURA SECURITIES INTERNATIONAL INC | NOMURA SECURITIES INTERNATIONAL, INC.
CRD#: 4297 / SEC#: 801-72991, 8-15255
RIA
Registered Investment Advisory firm - SEC (4/3/2012 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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(11/16/2021)
RR
Alaska(11/16/2021)
RR
Arizona(11/16/2021)
RR
Arkansas(11/16/2021)
RR
California(11/16/2021)
RR
Colorado(11/16/2021)
RR
Connecticut(11/16/2021)
RR
Delaware(11/16/2021)
RR
District of Columbia(11/16/2021)
RR
Florida(11/16/2021)
RR
Georgia(11/16/2021)
RR
Hawaii(11/16/2021)
RR
Idaho(11/16/2021)
RR
Illinois(11/16/2021)
RR
Indiana(11/16/2021)
RR
Iowa(11/16/2021)
RR
Kansas(11/16/2021)
RR
Kentucky(11/16/2021)
RR
Louisiana(11/16/2021)
RR
Maine(11/16/2021)
RR
Maryland(11/16/2021)
RR
Massachusetts(11/16/2021)
RR
Michigan(11/16/2021)
RR
Minnesota(11/16/2021)
RR
Mississippi(11/16/2021)
RR
Missouri(11/16/2021)
RR
Montana(11/16/2021)
RR
Nebraska(11/16/2021)
RR
Nevada(11/16/2021)
RR
New Hampshire(11/16/2021)
RR
New Jersey(11/16/2021)
RR
New Mexico(11/16/2021)
RR
New York(11/16/2021)
RR
North Carolina(11/16/2021)
RR
North Dakota(11/16/2021)
RR
Ohio(11/17/2021)
RR
Oklahoma(11/16/2021)
RR
Oregon(11/16/2021)
RR
Pennsylvania(11/16/2021)
RR
Puerto Rico(11/16/2021)
RR
Rhode Island(11/16/2021)
RR
South Carolina(11/16/2021)
RR
South Dakota(11/16/2021)
RR
Tennessee(11/16/2021)
RR
Texas(11/16/2021)
RR
Utah(11/16/2021)
RR
Vermont(11/16/2021)
RR
Virginia(11/16/2021)
RR
Washington(11/16/2021)
RR
West Virginia(11/16/2021)
RR
Wisconsin(11/16/2021)
RR
Wyoming(11/16/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NOMURA SECURITIES INTERNATIONAL, INC.
NOMURA SECURITIES INTERNATIONAL INC | NOMURA SECURITIES INTERNATIONAL, INC.
CRD#: 4297 / SEC#: 801-72991, 8-15255
RIA
Registered Investment Advisory firm - SEC (4/3/2012 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
Worldwide Plaza 309 West 49th Street 309 West 49th Street, New York, NY, 10019-7316
Mailing Address
Worldwide Plaza 309 West 49th Street, New York, NY, 10019
Phone number
(212) 667-9000
Established
New York since 09/12/1969
Firm type
Corporation
Fiscal year end
March
Firm Size
Large
# of Employees
11
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
