NOMURA SECURITIES INTERNATIONAL, INC.

Overview

Nomura Securities International, Inc. is a U.S.-based corporation operating as an institutional broker-dealer and futures commission merchant. Registered with the SEC in 2012, the firm is organized as an investment bank that serves institutional clients rather than retail households. Its business mix includes traditional broker-dealer activity and FCM services, and it also engages in publishing periodicals or newsletters as an advisory-related activity. The data indicate the firm does not position itself as a capital allocator and is not an active ESG investor. The firm holds a variety of industry roles and affiliations beyond traditional brokerage: filings list connections to other investment adviser activities, registered security-based swap dealing, commodity pool operator or commodity trading advisor roles, banking/thrift activities, trust and insurance company links, real estate brokerage, and sponsor or management roles for limited partnerships and pooled vehicles. A related-adviser relationship exists, suggesting part of its enterprise operates through affiliated advisory entities.

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