EK
Ethan R. Kaighn
NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST
Medford, NJ
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CRD#: 7594053
EK
Professional summary
Ethan Raymond Kaighn, who also goes by Ethan Kaighn, is a registered financial advisor currently at NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST located in Medford, New Jersey and DELAWARE DISTRIBUTORS, L.P. located in Philadelphia, Pennsylvania.
Ethan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Ethan has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ethan Kaighn
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) - RIA
Click below to view Ethan Raymond Kaighn'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
January 30, 2023 - Present
NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST
Office #2: 610 Market Street, Philadelphia, PA 19106RIA
CRD#: 105390
Medford, NJ
Current
October 4, 2022 - Present
DELAWARE DISTRIBUTORS, L.P.
Office #1: 610 Market St 100 Independence, Philadelphia, PA 19106BD
CRD#: 14232
Philadelphia, PA
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".
NI
NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST
CPG FUND ADVISERS | VANTAGE INVESTMENT ADVISERS | NOMURA INVESTMENTS FUND ADVISERS | NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST | NOMURA INVESTMENT MANAGEMENT ADVISERS | NOMURA ALTERNATIVE STRATEGIES | MACQUARIE PRIVATE FUND ADVISERS | MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST | MACQUARIE ASSET ADVISERS | DELAWARE MANAGEMENT COMPANY | DELAWARE MANAGEMENT BUSINESS TRUST | DELAWARE LINCOLN INVESTMENT ADVISERS | DELAWARE LINCOLN CASH MANAGEMENT | DELAWARE CAPITAL MANAGEMENT
CRD#: 105390 / SEC#: 801-32108
RIA
Registered Investment Advisory firm - (5/31/1988 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(1/30/2023)
RR
Alaska(1/30/2023)
RR
Arizona(1/30/2023)
RR
Arkansas(1/30/2023)
RR
California(1/30/2023)
RR
Colorado(1/30/2023)
RR
Connecticut(1/30/2023)
RR
Delaware(1/30/2023)
RR
District of Columbia(1/30/2023)
RR
Florida(1/30/2023)
RR
Georgia(1/30/2023)
RR
Hawaii(1/30/2023)
RR
Idaho(1/30/2023)
RR
Illinois(1/30/2023)
RR
Indiana(1/30/2023)
RR
Iowa(1/30/2023)
RR
Kansas(1/30/2023)
RR
Kentucky(1/30/2023)
RR
Louisiana(1/30/2023)
RR
Maine(1/30/2023)
RR
Maryland(1/30/2023)
RR
Massachusetts(1/30/2023)
RR
Michigan(1/30/2023)
RR
Minnesota(1/30/2023)
RR
Mississippi(1/30/2023)
RR
Missouri(1/30/2023)
RR
Montana(1/30/2023)
RR
Nebraska(1/30/2023)
RR
Nevada(1/30/2023)
RR
New Hampshire(1/30/2023)
RR
New Jersey(1/30/2023)
IAR
New Jersey(1/30/2023)
RR
New Mexico(1/30/2023)
RR
New York(1/30/2023)
RR
North Carolina(1/30/2023)
RR
North Dakota(1/30/2023)
RR
Ohio(1/30/2023)
RR
Oklahoma(1/30/2023)
RR
Oregon(1/30/2023)
RR
Pennsylvania(11/23/2022)
IAR
Pennsylvania(1/30/2023)
RR
Puerto Rico(1/30/2023)
RR
Rhode Island(1/30/2023)
RR
South Carolina(1/30/2023)
RR
South Dakota(1/30/2023)
RR
Tennessee(1/30/2023)
RR
Texas(1/30/2023)
RR
Utah(1/30/2023)
RR
Vermont(1/30/2023)
RR
Virgin Islands(1/30/2023)
RR
Virginia(1/30/2023)
RR
Washington(1/30/2023)
RR
West Virginia(1/30/2023)
RR
Wisconsin(1/30/2023)
RR
Wyoming(1/30/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/4/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NI
NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST
CPG FUND ADVISERS | VANTAGE INVESTMENT ADVISERS | NOMURA INVESTMENTS FUND ADVISERS | NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST | NOMURA INVESTMENT MANAGEMENT ADVISERS | NOMURA ALTERNATIVE STRATEGIES | MACQUARIE PRIVATE FUND ADVISERS | MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST | MACQUARIE ASSET ADVISERS | DELAWARE MANAGEMENT COMPANY | DELAWARE MANAGEMENT BUSINESS TRUST | DELAWARE LINCOLN INVESTMENT ADVISERS | DELAWARE LINCOLN CASH MANAGEMENT | DELAWARE CAPITAL MANAGEMENT
CRD#: 105390 / SEC#: 801-32108
RIA
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Contact information
Main Address
610 Market Street, Philadelphia, PA 19106
Mailing Address
Phone number
(215) 255-2300
Established
Firm type
Fiscal year end
# of Employees
598
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 317 |
| AUM (Assets Under Management) | $ 164,320,917,908 |
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.
