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Lawrence Bradley Moses

Daiwa Capital Markets America Inc.

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About Lawrence Bradley Moses

Lawrence Bradley Moses has been in the industry since January 30, 1996. Lawrence is currently registered with Daiwa Capital Markets America Inc. Lawrence is a registered representative and is licensed in 29 states. Lawrence is also qualified to conduct securities trading. Lawrence has previously worked at CLSA AMERICAS, LLC, CREDIT AGRICOLE SECURITIES (USA) INC., HSBC SECURITIES (USA) INC., CIBC WORLD MARKETS CORP., CREDIT LYONNAIS SECURITIES (USA), INC., CREDIT SUISSE FIRST BOSTON CORPORATION, HSBC SECURITIES, INC. and JAMES CAPEL INCORPORATED.

Firm Information

Lawrence Moses 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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Lawrence Moses’s Registration & Firm History

NY

09/22/2014 - Present

Daiwa Capital Markets America Inc. (NEW YORK NY)

NY

03/01/2013 - 03/10/2014

CLSA AMERICAS, LLC (NEW YORK NY)

NY

07/18/2007 - 06/07/2013

CREDIT AGRICOLE SECURITIES (USA) INC. (NEW YORK NY)

NY

07/11/2002 - 05/25/2007

HSBC SECURITIES (USA) INC. (NEW YORK NY)

NY

07/17/2000 - 06/19/2002

CIBC WORLD MARKETS CORP. (NEW YORK NY)

NY

06/16/1999 - 08/08/2000

CREDIT LYONNAIS SECURITIES (USA), INC. (NEW YORK NY)

NY

08/13/1997 - 10/12/1998

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

NY

01/01/1996 - 07/25/1997

HSBC SECURITIES, INC. (NEW YORK CITY NY)

NA

08/16/1994 - 01/01/1996

JAMES CAPEL INCORPORATED

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Licenses & Designations

BC

Issued 02/06/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/05/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/15/1994

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 Lawrence Bradley Moses.
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