9AT: NOMURA SECURITIES INTERNATIONAL, INC.

NOMURA SECURITIES INTERNATIONAL, INC.

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NOMURA SECURITIES INTERNATIONAL, INC.
NOMURA SECURITIES INTERNATIONAL INC

Adviser Profile

As of Date	07/14/2025
ADV Location	NEW YORK, NY, United States
Adviser Type - Related adviser
Number of Employees	11 -21%
of those in investment advisory functions	11 -21%
Registration	SEC, Approved, 04/03/2012

AUM^*	0
of that, discretionary
Private Fund GAV^*	0
SMA’s	No
Private Funds	0
Contact Info	212 xxxxxxx
Websites

Client Types

Advisory Activities

- Publication of periodicals or newsletters

Compensation Arrangments

Reported AUM

1 1 1 1

2015 2016 2017 2018 2019 2020 2021 2022

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

A. Firm Description Nomura Securities International, Inc. (“NSI,” “firm,” “we,” “us,” or “our”) provides a broad range of broker-dealer and investment banking services in the United States for institutional clients. We and/or our predecessor companies have been registered with the U.S. Securities and Exchange Commission (“SEC”) as a broker-dealer since October 1969 and we have been registered with the SEC as an investment adviser since 2012. We are owned by Nomura Holding America, Inc., a privately-held company which is owned by Nomura Holdings, Inc. (“NHI”). NHI is a publicly traded company listed on the Tokyo and New York stock exchanges. NHI, together with its affiliates, is known as “Nomura,” unless noted otherwise. B. Description of Advisory Services The firm provides research reports and other products and services for a fee to institutional clients. These services may include any or all of the following: (1) the provision of non-customized equity research reports prepared by NSI’s affiliates, (2) the provision of other research-related correspondence and communications from affiliate research analysts relating to such research reports, (3) access to the affiliate research analysts who prepare such research, and (4) the dissemination of trading ideas in equity securities by sales personnel (collectively, “Advisory Research

Services”). Clients receiving Advisory Research Services are referred to herein as “Advisory Research Clients” and other NSI clients and affiliates (where applicable) are referred to as “Non-Advisory Clients”. As pertinent, Advisory Research Clients and Non-Advisory Clients are referred to as “clients”. Our advisory relationships with Advisory Research Clients are strictly limited to the provision of Advisory Research Services, and any trades, transactions or orders that may be executed, routed or otherwise processed through us by Advisory Research Clients will be handled by us solely in our capacity as a broker-dealer. With respect to our Advisory Research Services, we do not maintain investment advisory accounts for clients or provide investment advisory discretionary services. We also do not maintain Advisory Research Client assets or securities. C. Availability of Customized Services to Individual Clients NSI’s affiliate research reports are not tailored to the individual needs of clients. We may provide customized trading ideas to clients, including model portfolios, based on client-specified parameters. D. Wrap Fee Programs NSI does not provide portfolio management services in connection with any wrap fee programs. E. Assets Under Management NSI does not have any third-party assets under management.