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Christopher Babu

Nomura Securities International, Inc.

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About Christopher Babu

Christopher Babu is a financial professional with over 20 years of experience in the industry. Babu is currently registered with Nomura Securities International, Inc. and holds a Series 7, Series 24, Series 63, and Series 7TO license. Babu has previously worked at Deutsche Bank Securities Inc. and Banc of America Securities LLC. Babu has a broad range of experience in the financial industry and is committed to providing clients with the highest level of service. Babu provides research-related services and is registered to provide investment advice in 52 states.

Firm Information

Christopher Babu 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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Christopher Babu’s Registration & Firm History

NY

09/21/2021 - Present

Nomura Securities International, Inc. (NEW YORK NY)

NY

03/18/2005 - 08/04/2016

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

07/30/1997 - 03/10/2005

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/28/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/28/2006

Series 24 - General Securities Principal Examination

BC

Issued 09/21/2021

Series 7TO - General Securities Representative Examination

BC

Issued 09/21/2021

SIE - Securities Industry Essentials Examination

BC

Issued 10/06/1997

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 Christopher Babu.
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