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Nomura Securities International, INC.

Nomura Securities International, INC. is a fee-based, SEC-registered investment adviser in New York, New York, registered with the SEC since 2012. As an SEC-registered adviser it is held to a fiduciary standard. Its exact fee schedule and account minimums are disclosed in Form ADV Part 2A.

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Source: SEC Form ADV · CRD #4297 · SEC #801-72991 · SEC-registered since 2012 (14 yrs) · Last filing data January 1, 2026

AUM
Not reported

as of 2026

Fee model
Fee-based

per Form ADV 5.E

Clients
Not reported

Form ADV 5.C — may be institutional

Employees
14

14 advisers

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Overview

AI-generated summary

Nomura Securities International, INC. is a fee-based, SEC-registered investment adviser based in New York, New York. It did not report regulatory assets under management on its most recent Form ADV. The firm reports one or more disclosure events on Form ADV Item 11 — see the disclosures section below.

This summary is generated from Form ADV data and may not capture all nuances. Always review the complete SEC filing before making decisions.

Firm details

CRD #
4297
SEC #
801-72991
Headquarters
New York, NY
Employees
14

Clients served

Client types not reported on this filing.

Fees & compensation

  • Compensation model: Fee-based — the firm reports client fees and may also receive commissions on certain products.
  • Typical fee range: See Part 2A. Exact advisory fee rates are reported in Form ADV Part 2A, not Part 1.
  • Account minimum: See Part 2A. Minimums are disclosed in the firm's Part 2A brochure.
  • Custodial, trading, and fund expenses may apply in addition to advisory fees. See the firm's Form ADV Part 2A for the complete fee schedule.

Disclosures

  • 2026 · SEC or CFTC regulatory disclosure

    Nomura Securities International, INC. reported one or more matters in this category on Form ADV Item 11. Form ADV Part 1 indicates that a disclosure exists but not its outcome; review the full Disclosure Reporting Pages on the SEC IAPD record for details and resolution.

  • 2026 · Other regulatory agency disclosure

    Nomura Securities International, INC. reported one or more matters in this category on Form ADV Item 11. Form ADV Part 1 indicates that a disclosure exists but not its outcome; review the full Disclosure Reporting Pages on the SEC IAPD record for details and resolution.

  • 2026 · Self-regulatory organization disclosure

    Nomura Securities International, INC. reported one or more matters in this category on Form ADV Item 11. Form ADV Part 1 indicates that a disclosure exists but not its outcome; review the full Disclosure Reporting Pages on the SEC IAPD record for details and resolution.

  • 2026 · Civil judicial disclosure

    Nomura Securities International, INC. reported one or more matters in this category on Form ADV Item 11. Form ADV Part 1 indicates that a disclosure exists but not its outcome; review the full Disclosure Reporting Pages on the SEC IAPD record for details and resolution.

  • Detailed, AI-summarized breakdowns of each event are being rolled out across the directory. For now, review the full Disclosure Reporting Pages on the SEC IAPD record.

Frequently asked questions

Is Nomura Securities International, INC. a fiduciary?+

Yes. Nomura Securities International, INC. is an SEC-registered investment adviser (CRD #4297), which means it is held to a fiduciary standard and must act in its clients' best interest. Verify its current status on the SEC's Investment Adviser Public Disclosure (IAPD) site.

How is Nomura Securities International, INC. compensated?+

Nomura Securities International, INC. reports a fee-based compensation model on its Form ADV. Fee-based advisers charge client fees and may also earn commissions on certain products. Exact fee rates and account minimums are disclosed in the firm's Form ADV Part 2A brochure.

How much money does Nomura Securities International, INC. manage?+

Nomura Securities International, INC. did not report regulatory assets under management on its most recent Form ADV. See the SEC IAPD record for details.

Does Nomura Securities International, INC. have any disclosures?+

Nomura Securities International, INC. reported one or more disclosure events on Form ADV Item 11 (sec or cftc regulatory disclosure, other regulatory agency disclosure, self-regulatory organization disclosure, civil judicial disclosure). A disclosure is not by itself a finding of wrongdoing; review the full Disclosure Reporting Pages on the SEC IAPD site.

This profile is generated from publicly available SEC filings. Nomura Securities International, INC. has not verified or endorsed this information. Last updated from filings: January 1, 2026. View the official filing at SEC IAPD.

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