Swapnil J. Rege

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CRD#: 4788421

Professional summary

Swapnil Jagannath Rege was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Swapnil is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Swapnil had worked at 2 firms, which includes NOMURA SECURITIES INTERNATIONAL INC., CITIGROUP GLOBAL MARKETS INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Swapnil Rege

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 30, 2014 - November 24, 2014

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

August 16, 2004 - June 11, 2014

CITIGROUP GLOBAL MARKETS INC.

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/19/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/24/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/2004

General Securities Representative Examination

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

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Swapnil J. Rege

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NOMURA SECURITIES INTERNATIONAL, INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

NOMURA SECURITIES INTERNATIONAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/19/2004

SIE

Date: 11/24/2014

Series 7

Date: 8/15/2004

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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