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Alex Wolff

Nomura Securities International, Inc.

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About Alex Wolff

Alex Wolff is a financial professional with over 10 years of experience in the industry. Alex is currently registered with Nomura Securities International, Inc. and previously worked at COWEN AND COMPANY, BRILL SECURITIES, INC., and SAFRA SECURITIES CORPORATION. Alex is licensed to conduct business in all 50 states and holds Series 4, 7, 7TO, 24, 55, 63 and 66 licenses. Alex is dedicated to providing clients with high-quality research-related services and publications.

Firm Information

Alex Wolff is currently registered with Nomura Securities International, Inc.. Nomura Securities International, Inc. is a corporation formed in 1969 and headquartered in New York, NY. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They offer research-related services and publish periodicals. Their clients include other investment advisors.
Nomura Securities International, Inc.

WORLD WIDE PLAZA

NEW YORK, NY 10019-7316

Not reported

Assets Under Management

1

Total Clients

78

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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research-related services

Research-related services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

check

other

Negotiated fees for research-related services

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Alex Wolff’s Registration & Firm History

NY

09/08/2020 - Present

Nomura Securities International, Inc. (NEW YORK NY)

NY

08/31/2011 - 04/12/2018

COWEN AND COMPANY (NEW YORK NY)

NY

01/05/2010 - 08/24/2011

BRILL SECURITIES, INC. (NEW YORK NY)

NY

02/05/2008 - 07/07/2009

SAFRA SECURITIES CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/22/2020

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 02/11/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/10/2008

Series 4 - Registered Options Principal Examination

BC

Issued 04/26/2008

Series 24 - General Securities Principal Examination

BC

Issued 09/08/2020

Series 7TO - General Securities Representative Examination

BC

Issued 04/12/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/15/2008

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 02/04/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Alex Wolff.
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