Rosa M. Lopez Palomino
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rosa Maria Lopez Palomino, who also goes by Rosa Maria Lopez, Rosa Lopez, Rosa Lopez Palomino, Rosa Maria Lopez-palomino, Rosa Maria Palomino, Rosa Palomino, was a registered financial professional .
Rosa is a previously registered financial professional and started their career in finance in 2006. Rosa had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2014 - July 1, 2019
NOMURA SECURITIES INTERNATIONAL, INC.
February 14, 2011 - April 5, 2013
PIMCO INVESTMENTS LLC
April 19, 2007 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
June 5, 2006 - July 18, 2006
NATIONAL PLANNING CORPORATION
May 23, 2006 - July 18, 2006
NATIONAL PLANNING CORPORATION
January 9, 2006 - March 29, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
January 1, 2006 - March 29, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
NOMURA SECURITIES INTERNATIONAL, INC.
CRD#: 4297 / SEC#: 801-72991, 8-15255
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NOMURA SECURITIES INTERNATIONAL, INC.
CRD#: 4297 / SEC#: 801-72991, 8-15255
Contact information
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
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