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Current Employers
Nomura Investment Management Business Trust

610 Market Street, Philadelphia, PA 19106 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2020-04-20
PA RA APPROVED 2020-04-20
  • NJ RA
    APPROVED
    Since 2020-04-20
  • PA RA
    APPROVED
    Since 2020-04-20

Branch Locations

2005 Market Street, Philadelphia, PA 19103-7098 • United States

Jamison, PA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Delaware Distributors, L.P. Philadelphia PA 01/2010 Present
Macquarie Investment Management Business Trust Philadelphia PA 04/2020 Present
Nomura Capital Management Llc Philadelphia PA 06/2026 Present
  • 01/2010 → Present
    Delaware Distributors, L.P.
    Philadelphia, PA
  • 04/2020 → Present
    Macquarie Investment Management Business Trust
    Philadelphia, PA
  • 06/2026 → Present
    Nomura Capital Management Llc
    Philadelphia, PA
Previous Registrations
  • 2010-01-05 → 2020-04-20
    Delaware Capital Management Advisers, Inc
    Philadelphia, PA
  • 2006-02-27 → 2009-12-31
    Lincoln Financial Distributors, Inc.
    Great Falls, VA
    Radnor, PA
    Jamison, PA
Other Businesses

I OWN INVESTMENT/RENTAL PROPERTY AT 16 FIFTH AVENUE, DANBURY, CT 06810. I PURCHASED THE PROPERTY IN AUGUST OF 2004. I SPEND ONE HOUR PER MONTH ON THIS BUSINESS. I DEVOTE ZERO HOURS TO THE BUSINESS DURING SECURITIES TRADING HOURS. CONDUCTED A PRIVATE SECURITY TRANSACTION IN JANUARY OF 2005. THE COMPANY'S NAME IS RAGING WIRE ENTERPRISE SOLUTIONS. THE TOTAL INVESTMENT WAS FOR $13,400 AND HIS INVOLVEMENT IS ONLY A SHAREHOLDER. Falcon Development Investment Co LLC: It is a family owned LLC holding Real Estate. Rental Property/ Employee/Family Owned/Start 6/7/2021/2 hrs per month Fox Development Investment Company LLC: It is a family owned LLC holding Real Estate. Rental Property/ Employee/Family Owned/Start 6/7/2021/less than 1 hour per month Fox Dog Investment Company LLC: It is a family owned LLC holding Real Estate. Rental Property/ Employee/Family Owned/Start 6/7/2021/less than 1 hour per month George Street Partners LLC: It is a family owned LLC holding Real Estate. Rental Property/ Employee/Family Owned/Start 6/7/2021/ 1 hour per month Starr Par Associates LLC: It is an LLC holding Real Estate. Rental Property/ Private Organization/Start 6/7/2021/less than 1 hour per month West Fifth Avenue Properties LLC: It is a family owned LLC holding Real Estate. Rental Property and vacant land./ Employee/Family Owned/Start 6/1/2005/less than 1 hour per month

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-02-17
S63 Uniform Securities Agent State Law Examination 1997-09-13
  • S65 Uniform Investment Adviser Law Examination
    2006-02-17
  • S63 Uniform Securities Agent State Law Examination
    1997-09-13
Other Names
  • David J Fiorita
  • Dave Fiorita
  • David Fiorita

View on SEC IAPD

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