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Faris Shaker Al nabulsi

Daiwa Capital Markets America Inc.

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About Faris Shaker Al nabulsi

Faris Al nabulsi is a securities professional with over 27 years of experience in the financial industry. Faris has a broad range of experience in the industry, including roles at Wedbush Morgan Securities Inc., Harvestons Securities, Inc., FIMAT USA, LLC, Morgan Keegan & Company, Inc., FTN FINANCIAL SECURITIES CORP., and currently at Daiwa Capital Markets America Inc. Faris has passed several industry exams, including the Series 7, Series 24, Series 4, Series 52TO, Series 53, and Series 63 exams. Faris holds registrations in several states including California, Massachusetts, Missouri, New Jersey, New York, Rhode Island, and Virginia.

Firm Information

Faris Al nabulsi is currently registered with Daiwa Capital Markets America Inc.. Daiwa Capital Markets America Inc. is a corporation formed on December 8, 1964, and is registered in all 50 U.S. states, the District of Columbia, and Puerto Rico. The firm has been approved by the SEC and has a total of 53 registrations.

Not reported

Assets Under Management

Not reported

Total Clients

69

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.

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.

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Faris Al nabulsi’s Registration & Firm History

NY

08/08/2016 - Present

Daiwa Capital Markets America Inc. (NEW YORK NY)

NY

08/23/2010 - 06/28/2016

FTN FINANCIAL SECURITIES CORP (NEW YORK NY)

NY

01/03/2008 - 08/20/2010

MORGAN KEEGAN & COMPANY, INC. (NEW YORK NY)

CO

01/12/2006 - 07/06/2007

FIMAT USA, LLC (EVERGREEN CO)

CA

08/30/2000 - 09/06/2005

WEDBUSH MORGAN SECURITIES INC. (LOS ANGELES CA)

CO

04/27/1994 - 11/20/2000

HARVESTONS SECURITIES, INC. (GREENWOOD VILLAGE CO)

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Licenses & Designations

BC

Issued 11/16/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/04/2006

Series 53 - Municipal Securities Principal Examination

BC

Issued 12/01/1995

Series 4 - Registered Options Principal Examination

BC

Issued 02/28/1994

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/27/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Faris Shaker Al nabulsi.
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