Tohru Sambongi
Professional Summary
Tohru Sambongi, who also goes by Toru Sanbongi, is a registered financial advisor currently at DAIWA CAPITAL MARKETS AMERICA INC. located in New York, New York. Tohru is registered as a RR (Registered Representative) and started their career in finance in 2020. Tohru has worked at 1 firm and has passed the Series 63, Series 3, Series 7TO, SIE and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Toru Sanbongi
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
6 years in the financial services industry
Current & Past Employments
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Current Firm
DAIWA CAPITAL MARKETS AMERICA INC. | DAIWA SECURITIES AMERICA INC.
Contact Information
Main Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020Mailing Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020Phone Number
(212) 612-7000Established
New York since 12/08/1964Firm Type
CorporationFiscal Year End
MarchFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | — |
| DITO, HOLLY ELOISE | EXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER | 2155924 |
| MACHIDA, KEIJI | CHAIRMAN | 7273228 |
| PARRY, GEORGE L | CFO / TREASURER | 3221390 |
| SAMBONGI, TOHRU | MANAGING DIRECTOR / CO-HEAD OF FIXED INCOME | 7302894 |
| UEJIMA, EIJI | MANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION | 8039040 |
| YAMAGUCHI, DAISUKE | PRESIDENT & CEO (BOARD OF DIRECTORS) | 8281962 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(3/30/2023)
(3/5/2021)
(3/20/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Tohru Sambongi's CRS (Customer Relationship Summary).
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