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FIRM PROFILE
Overview
DAIWA CAPITAL MARKETS AMERICA INC. is located at 1251 Avenue Of The Americas, 49th Fl, New York, NY 10020 and was first established at New York, New York in 12/08/1964. After operating for 61 years, DAIWA CAPITAL MARKETS AMERICA INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of DAIWA CAPITAL MARKETS AMERICA INC.’s clients are individuals and 0% of their clients are high net worth individuals. DAIWA CAPITAL MARKETS AMERICA INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at DAIWA CAPITAL MARKETS AMERICA INC. are registered to handle securities or provide financial advice. The firm has 30 disclosures, 30 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access DAIWA CAPITAL MARKETS AMERICA INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at DAIWA CAPITAL MARKETS AMERICA INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
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Understanding the Statistics for DAIWA CAPITAL MARKETS AMERICA INC. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020
Medium
(212) 612-7000
New York since 12/08/1964
Corporation
March
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | ||
| AIZAWA, GAKU | MANAGING DIRECTOR / MEMBER OF THE BOARD OF DIRECTORS | 1763967 | |
| GREFE, JOHN HERBERT III | EXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER | 3275699 | |
| MACHIDA, KEIJI | PRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR) | 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 | |
| YAMAUCHI, MASAHIRO | DEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS | 7920876 |
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Advisor's working at DAIWA CAPITAL MARKETS AMERICA INC.
Robert Edward Buetti JR
Robert Anthony Fox
Mark Otto Schultz
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