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John Girault Fenwick

Daiwa Capital Markets America Inc.

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About John Girault Fenwick

John Girault Fenwick is a financial advisor currently registered with Daiwa Capital Markets America Inc.. John has been in the securities industry for over 12 years and has a wide range of experience in the financial services industry. John is a Series 7, Series 3 and Series 63 licensed financial advisor. John previously worked at ROBERT W. BAIRD & CO. INCORPORATED, NATHAN HALE CAPITAL, LLC, and WELLS FARGO SECURITIES, LLC. John is registered in 23 states including California, Colorado, Connecticut, District of Columbia, Florida, Illinois, Indiana, Iowa, Maryland, Massachusetts, Michigan, Minnesota, Missouri, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Tennessee, Texas, Virginia, and Wisconsin.

Firm Information

John Fenwick 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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John Fenwick’s Registration & Firm History

NC

06/12/2023 - Present

Daiwa Capital Markets America Inc. (Charlotte NC)

NC

03/20/2017 - 06/01/2023

ROBERT W. BAIRD & CO. INCORPORATED (CHARLOTTE NC)

NC

07/06/2015 - 03/20/2017

NATHAN HALE CAPITAL, LLC (CHARLOTTE NC)

NC

12/14/2010 - 04/17/2015

WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)

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Licenses & Designations

BC

Issued 12/20/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/29/2012

Series 3 - National Commodity Futures Examination

BC

Issued 12/13/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

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 John Girault Fenwick.
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