CRD #4297 · FINRA BrokerCheck + SEC IAPD

Nomura Securities International, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Nomura Securities International, Inc. ranks #51 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #17 of 868 on the same disclosure sort used on the state browse page. Nomura Securities International, Inc. carries 83 BrokerCheck disclosures across 126 branch offices - moderate load for a large firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
126
branch offices
83
disclosures
#51 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 4297 Nomura Securities International, Inc.

Nomura Securities International, Inc. · Grade C · 83 disc · 0.66/office · Large firm

  • CRD 4297
  • GRADE C
  • DISC 83
  • REG 83
  • ARB 0
  • CIV 0
  • BRANCH 126
  • PER-OFF 0.66
  • RANK #51 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Bofa Securities, Inc. (0.59 disc/office)

Bofa Securities, Inc.0.59Janney Montgomery Scott…0.57Oppenheimer & Co. Inc.0.45Nomura Securities I… (this)0.66
Disclosures per office among large firm peers (lower is cleaner)

Nomura Securities International, Inc. ranks #51 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.66 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

126 offices

FINRA: Large firm

Total disclosures

83 events

On FINRA BrokerCheck

Regulatory events

83 actions

100% of all disclosures

Disclosures per office

0.66 per office

83 ÷ 126 offices

Nomura Securities International, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 42% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). This entry sits in this band. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 83
Arbitrations 0
Civil Events 0
Total 83

Counts for Nomura Securities International, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 83 Arbitration 0 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY
CRD Number
4297

Regulator-heavy mix

Nomura Securities International, Inc. in the heavier-disclosure third

Nomura Securities International, Inc. carries 83 BrokerCheck disclosures across 126 branch offices - a heavier-third raw book among graded firms (#51 of 20,055). Regulator-initiated events are 100% of the book (83 regulatory / 0 arbitration / 0 civil).

100% of Nomura Securities International, Inc.'s 83 disclosures are regulator-initiated (83 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Nomura Securities International, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 9.49× state average

Nomura Securities International, Inc. sits above the New York disclosure average

Nomura Securities International, Inc. reports 83 BrokerCheck disclosures, 9.49× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Nomura Securities International, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Nomura Securities International, Inc. ranks #51 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #17 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Nomura Securities International, Inc.?
A grade of C reflects Nomura Securities International, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 83 total disclosures across 126 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Nomura Securities International, Inc. have?
Nomura Securities International, Inc. has 83 total FINRA disclosures, including 83 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Nomura Securities International, Inc.?
Nomura Securities International, Inc. operates 126 branch offices and is classified by FINRA as a large firm, registered in NY (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Nomura Securities International, Inc.'s disciplinary record?
You can verify Nomura Securities International, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 4297. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Nomura Securities International, Inc.'s 83 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Nomura Securities International, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Nomura Securities International, Inc. carries 83 disclosures across 126 branch offices (about 0.66 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Nomura Securities International, Inc., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Bofa Securities, Inc. (NY) - 0.59 disclosures/office, nearest large firm peer to Nomura Securities International, Inc.'s 0.66
  • Janney Montgomery Scott LLC (PA) - 0.57 disclosures/office, nearest large firm peer to Nomura Securities International, Inc.'s 0.66
  • Oppenheimer & Co. Inc. (NY) - 0.45 disclosures/office, nearest large firm peer to Nomura Securities International, Inc.'s 0.66
  • Firms in NY - state roster that includes Nomura Securities International, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade C firm like Nomura Securities International, Inc..
  • Reading BrokerCheck Reports - How Nomura Securities International, Inc.'s 0.66 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Nomura Securities International, Inc..
  • Compare firms - put Nomura Securities International, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.