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NOMURA SECURITIES INTERNATIONAL, INC.
CRD 4297File 801-72991
APPROVED
Disclosure events
Filing as of Aug 6, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
Not reported
Discretionary AUM
Not reported
Clients
0
Not reported accounts
Employees
14
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Apr 3, 2012
- Principal office
- WORLD WIDE PLAZA, 309 WEST 49TH STREET, NEW YORK, NY, 10019-7316
- Phone
- 212-667-9000
- Website
- HTTP://WWW.NOMURA.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- Not reported
- Discretionary AUM
- Not reported
- Non-discretionary AUM
- Not reported
- Discretionary accounts
- Not reported
- Non-discretionary accounts
- Not reported
- Total accounts
- Not reported
- AUM per client
- —
Clients by type
ADV Item 5DNo client-type detail reported.
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — NEGOTIATED FEES FOR RESEARCH-RELATED SERVICES
Advisory activities
- Publications
- Other advisory activities
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11C2
- Q11C4
- Q11C5
- Q11D2
- Q11D3
- Q11D4
- Q11D5
- Q11E1
- Q11E2
- Q11H1B
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 12, 2026 | AUM | $0 | — | |
| Aug 12, 2026 | Accounts | 0 | — | |
| Jul 1, 2026 | Employees | 11 | 14 | increased by3 |
| Jul 1, 2026 | Clients | 1 | 0 | decreased by1 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 13 | 11 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 2 | 1 | decreased by1 |
| Jun 1, 2022 | Employees | 12 | 13 | increased by1 |
| Jun 1, 2022 | Clients | 1 | 2 | increased by1 |
| Jun 1, 2021 | Employees | 15 | 12 | decreased by3 |
| Jun 1, 2021 | Clients | 0 | 1 | increased by1 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “NOMURA SECURITIES” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“NOMURA SECURITIES” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.