linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Francis James Nugent

Nomura Securities International, Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Francis? Claim Your Profile

About Francis James Nugent

Francis Nugent is a financial professional with over 15 years of experience in the industry. Francis is currently registered with Nomura Securities International, Inc., a firm with a national scope. Francis also has prior experience with Lehman Brothers Inc. Francis is registered to provide investment advice in all 50 states and holds a broad range of securities licenses. Francis is also a Series 24 General Securities Principal and is able to provide research-related services to clients.

Firm Information

Francis Nugent 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

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Francis Nugent’s Registration & Firm History

NY

12/10/2008 - Present

Nomura Securities International, Inc. (NEW YORK NY)

NY

07/18/2003 - 06/06/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

Not sure if Francis James Nugent is right for you?

Licenses & Designations

BC

Issued 02/19/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/11/2019

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/07/2008

Series 3 - National Commodity Futures Examination

BC

Issued 07/16/2003

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 Francis James Nugent.
Not sure if Francis James Nugent is right for you?