# Nomura Securities International, Inc. > 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. - CRD: 4297 - Filed as: NOMURA SECURITIES INTERNATIONAL, INC. - Registration: SEC-registered investment adviser (status as filed: Approved) - Location: New York, NY - Filing period: October 2026 - Form ADV filing dated: August 6, 2026 - SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/4297 - AdvisorCensus page: https://advisorcensus.com/firm/nomura-securities-international-inc-new-york-ny-4297 ## Quick answers **How is Nomura Securities International, Inc. compensated?** On its Form ADV (Item 5.E, October 2026), Nomura Securities International, Inc. reports these compensation arrangements: other. The amounts are in Item 5 of its Form ADV Part 2A brochure. **Where is Nomura Securities International, Inc. located?** Nomura Securities International, Inc.'s principal office is in New York, NY, according to its Form ADV. **Is Nomura Securities International, Inc. registered with the SEC or a state?** Nomura Securities International, Inc. is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 4297. **How have Nomura Securities International, Inc.'s assets and staff changed since 2021?** 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. **Does Nomura Securities International, Inc. report any disciplinary disclosures?** 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 **What changed in Nomura Securities International, Inc.'s recent Form ADV filings?** In the September 2026 filing data: Item 11 disclosure answers changed: 10 yes answers, previously 9 (now yes: 11.E(1)). ## From the Form ADV filing ### Compensation (Item 5.E) - Other ### Clients (Item 5.D) | Client type | Clients | Assets | | --- | --- | --- | | Individuals (other than high net worth individuals) | 0 | Not reported | | High net worth individuals | 0 | Not reported | | Banking or thrift institutions | 0 | Not reported | | Investment companies | 0 | Not reported | | Business development companies | 0 | Not reported | | Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported | | Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | Not reported | | Charitable organizations | 0 | Not reported | | State or municipal government entities (including government pension plans) | 0 | Not reported | | Other investment advisers | 0 | Not reported | | Insurance companies | 0 | Not reported | | Sovereign wealth funds and foreign official institutions | 0 | Not reported | | Corporations or other businesses not listed above | 0 | Not reported | | Other | 0 | Not reported | ### Advisory services (Item 5.G) - Publication of periodicals or newsletters - Other ### Firm details - Registered since: 2012 (14 years) - Employees: 14 total, 14 performing advisory functions - Wrap fee program participation: No - Disclosures (Item 11): Reports 10 disclosure items on Form ADV Item 11. ### Item 11 questions answered yes - 11.C(2): 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? - 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity? - 11.C(5): 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? - 11.D(2): 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? - 11.D(3): 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? - 11.D(4): 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? - 11.D(5): 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? - 11.E(1): 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? - 11.E(2): 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? - 11.H(1)(b): 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? Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/4297 ### Websites listed on Form ADV (Item 1.I) - nomura.com - LinkedIn @nomura - X @Nomura ## Assets and staff over time | Data period | Regulatory assets under management | Employees | Filing dated | | --- | --- | --- | --- | | October 2021 | Not reported | 12 | May 28, 2021 | | October 2022 | Not reported | 13 | May 25, 2022 | | October 2023 | Not reported | 14 | June 26, 2023 | | October 2024 | Not reported | 13 | June 27, 2024 | | October 2025 | Not reported | 11 | July 14, 2025 | | October 2026 | Not reported | 14 | August 6, 2026 | Total employees: 12 in October 2021 and 14 in October 2026. ## Changes in the filing (last 12 months) ### September 2026 - Item 11 disclosure answers changed: 10 yes answers, previously 9 (now yes: 11.E(1)). ### July 2026 - Employees performing advisory functions went from 11 to 14. ## Source Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Nomura Securities International, Inc. (CRD 4297): Form ADV filing data as of October 2026.