{
  "crd_number": 4297,
  "slug": "nomura-securities-international-inc-new-york-ny-4297",
  "primary_business_name": "NOMURA SECURITIES INTERNATIONAL, INC.",
  "legal_name": "NOMURA SECURITIES INTERNATIONAL, INC.",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2012-04-03",
  "years_registered": 14,
  "period": "2026-10-01",
  "filing_date": "2026-08-06",
  "carried_forward": false,
  "raum_total": null,
  "raum_discretionary": null,
  "raum_non_discretionary": null,
  "raum_band": "not_reported",
  "raum_band_label": "Not reported",
  "total_employees": 14,
  "advisory_employees": 14,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": null,
      "count": 0
    },
    "charitable": {
      "raum": null,
      "count": 0
    },
    "individuals": {
      "raum": null,
      "count": 0
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "state_municipal": {
      "raum": null,
      "count": 0
    },
    "insurance_companies": {
      "raum": null,
      "count": 0
    },
    "investment_companies": {
      "raum": null,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": null,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": null,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": null,
      "count": 0
    },
    "pooled_investment_vehicles": {
      "raum": null,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": null,
      "count": 0
    },
    "business_development_companies": {
      "raum": null,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "other"
  ],
  "advisory_activities": [
    "other",
    "periodicals_newsletters"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 10,
  "states_registered": [],
  "websites": [
    "https://linkedin.com/company/nomura",
    "https://nomura.com",
    "https://twitter.com/Nomura"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/4297",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(3)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(1)",
      "question": "Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.H(1)(b)",
      "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/nomura-securities-international-inc-new-york-ny-4297",
  "display_name": "Nomura Securities International, Inc.",
  "summary": "Nomura Securities International, Inc. is an SEC-registered investment advisory firm in New York, NY, registered since 2012, with no regulatory assets under management reported in its Form ADV filing dated August 6, 2026.",
  "citation": "AdvisorCensus. Nomura Securities International, Inc. (CRD 4297): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "Other"
  ],
  "advisory_activity_labels": [
    "Publication of periodicals or newsletters",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Nomura Securities International, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Nomura Securities International, Inc. reports these compensation arrangements: other."
    },
    {
      "q": "Where is Nomura Securities International, Inc. located?",
      "a": "Nomura Securities International, Inc.'s principal office is in New York, NY, according to its Form ADV."
    },
    {
      "q": "Is Nomura Securities International, Inc. registered with the SEC or a state?",
      "a": "Nomura Securities International, Inc. is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 4297."
    },
    {
      "q": "How have Nomura Securities International, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Nomura Securities International, Inc.: Total employees: 12 in October 2021 and 14 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "Does Nomura Securities International, Inc. report any disciplinary disclosures?",
      "a": "Reports 10 disclosure items on Form ADV Item 11: yes answers to 9 questions about regulatory matters and 1 question about civil court matters (11.C(2), 11.C(4), 11.C(5), 11.D(2), 11.D(3), 11.D(4), 11.D(5), 11.E(1), 11.E(2), 11.H(1)(b)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/4297"
    },
    {
      "q": "What changed in Nomura Securities International, Inc.'s recent Form ADV filings?",
      "a": "In the September 2026 filing data: Item 11 disclosure answers changed: 10 yes answers, previously 9 (now yes: 11.E(1))."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 12,
      "filing_date": "2021-05-28"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 13,
      "filing_date": "2022-05-25"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 14,
      "filing_date": "2023-06-26"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 13,
      "filing_date": "2024-06-27"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 11,
      "filing_date": "2025-07-14"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 14,
      "filing_date": "2026-08-06"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-09-01",
      "period_label": "September 2026",
      "notes": [
        "Item 11 disclosure answers changed: 10 yes answers, previously 9 (now yes: 11.E(1))."
      ]
    },
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Employees performing advisory functions went from 11 to 14."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/nomura-securities-international-inc-new-york-ny-4297.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    }
  ],
  "disclosure_line": "Reports 10 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/4297",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}