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Nomura Investment Management Business Trust CRD 105390
$144B regulatory AUM 19 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
610 Market Street, Philadelphia, PA 19106 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-01-30 |
| KS | RA | APPROVED | 2022-10-17 |
| MO | RA | APPROVED | 2022-10-17 |
Branch Locations
6301 Glenwood Street, Overland Park, KS 66209 • United States
610 Market Street, Philadelphia, PA 19106 • United States
Kansas City, MO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American Century Investment Services Inc. | Kansas City | MO | 06/2021 | 07/2022 |
| Weed Man Lawn Care | Lees Summit | MO | 12/2015 | 05/2016 |
| Four Seasons Sunrooms | Lees Summit | MO | 06/2016 | 08/2016 |
| Bordner Home Improvement | Raytown | MO | 10/2016 | 08/2018 |
| Bmo Harris Bank | Kansas City | MO | 08/2018 | 05/2021 |
| Delaware Distributors, L.P. | Overland Park | KS | 08/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-10-17 |
| S63 | Uniform Securities Agent State Law Examination | 2022-05-23 |
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