Joseph Butler

NOMURA SECURITIES INTERNATIONAL

Cos Cob, CT

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CRD#: 4708487

Professional summary

Joseph Butler, who also goes by Joe Butler, Mr. Joseph Butler, is a registered financial professional currently at NOMURA SECURITIES INTERNATIONAL, INC. located in Cos Cob, Connecticut.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2003. Joseph has worked at 8 firms and has passed the Series 63, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Butler | Mr. Joseph Butler

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 Joseph Butler's CRS (Customer Relationship Summary).

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

September 26, 2022 - Present

NOMURA SECURITIES INTERNATIONAL, INC.

Office #2: Worldwide Plaza 309 West 49th Street, New York, NY 10019

RIA

CRD#: 4297

Cos Cob, CT

Past

January 6, 2022 - September 13, 2022

RABO SECURITIES USA, INC.

CRD#: 122657

NEW YORK, NY

Past

April 22, 2020 - August 24, 2020

ASTOR RIDGE N.A. LLP

CRD#: 282626

RUMSON, NJ

Past

July 26, 2018 - August 29, 2019

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

September 3, 2008 - November 7, 2012

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

May 2, 2005 - September 4, 2008

ABN AMRO INCORPORATED

CRD#: 15776

GREENWICH, CT

Past

June 2, 2004 - April 14, 2005

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

September 26, 2003 - May 17, 2004

MILLENCO LLC

CRD#: 33726

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)

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.

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

Alabama
(10/4/2022)

Alaska
(10/4/2022)

Arizona
(10/4/2022)

Arkansas
(10/4/2022)

California
(10/4/2022)

Colorado
(9/26/2022)

Connecticut
(10/4/2022)

Delaware
(10/4/2022)

District of Columbia
(9/26/2022)

Florida
(9/26/2022)

Georgia
(10/4/2022)

Hawaii
(10/4/2022)

Idaho
(10/4/2022)

Illinois
(10/4/2022)

Indiana
(10/4/2022)

Iowa
(10/4/2022)

Kansas
(10/4/2022)

Kentucky
(10/4/2022)

Louisiana
(9/26/2022)

Maine
(10/4/2022)

Maryland
(9/26/2022)

Massachusetts
(10/4/2022)

Michigan
(10/4/2022)

Minnesota
(10/4/2022)

Mississippi
(10/4/2022)

Missouri
(10/4/2022)

Montana
(10/4/2022)

Nebraska
(10/4/2022)

Nevada
(10/4/2022)

New Hampshire
(10/4/2022)

New Jersey
(10/4/2022)

New Mexico
(10/4/2022)

New York
(10/4/2022)

North Carolina
(10/4/2022)

North Dakota
(10/4/2022)

Ohio
(10/4/2022)

Oklahoma
(10/4/2022)

Oregon
(10/4/2022)

Pennsylvania
(10/4/2022)

Puerto Rico
(9/26/2022)

Rhode Island
(10/4/2022)

South Carolina
(10/4/2022)

South Dakota
(10/4/2022)

Tennessee
(10/4/2022)

Texas
(10/4/2022)

Utah
(10/4/2022)

Vermont
(10/4/2022)

Virginia
(10/4/2022)

Washington
(10/4/2022)

West Virginia
(10/4/2022)

Wisconsin
(10/4/2022)

Wyoming
(10/4/2022)

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.

Exams

State Security Law Exam

Series 63

Date: 10/4/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Date: 12/22/2018

General Securities Principal Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

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)

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

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NSI FORM ADV PART2A ANNUAL (7/14/2025)

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

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.

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Firm Stability Insights

Joseph Butler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Butler's CRS (Customer Relationship Summary).

Certified licenses

Experience

RABO SECURITIES USA, INC.

ASTOR RIDGE N.A. LLP

HSBC SECURITIES (USA) INC.

NATWEST MARKETS SECURITIES INC.

ABN AMRO INCORPORATED

BNP PARIBAS SECURITIES CORP.

MILLENCO LLC

Primary Firm SEC Registration

NOMURA SECURITIES INTERNATIONAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/4/2022

SIE

Date: 10/1/2018

Series 24

Date: 12/22/2018

BOX Exchange LLC

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

NYSE American LLC

NYSE Arca, Inc.

NYSE Texas, Inc.

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

NOMURA SECURITIES INTERNATIONAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NOMURA SECURITIES INTERNATIONAL, INC.

TRUST BUT VERIFY

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