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Alexander Lee Stein

Nomura Securities International, Inc.

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About Alexander Lee Stein

Alexander Stein is a financial professional with over 15 years of experience in the industry. He is currently a registered representative with Nomura Securities International, Inc. where he is responsible for providing research-related services. Alexander has held previous roles at NOMURA GREENTECH CAPITAL ADVISORS, LLC and HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, INC. Alexander holds the Series 7, Series 79TO, Series 63, and SIE licenses.

Firm Information

Alexander Stein 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.

check

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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Alexander Stein’s Registration & Firm History

NY

04/13/2020 - Present

Nomura Securities International, Inc. (NEW YORK NY)

NY

03/22/2010 - 04/05/2021

NOMURA GREENTECH CAPITAL ADVISORS, LLC (NEW YORK NY)

NY

02/20/2008 - 02/22/2010

HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/27/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/19/2008

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 Alexander Lee Stein.
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