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Maurice Fiol

Nomura Securities International, Inc.

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About Maurice Fiol

Maurice Fiol is a broker with Nomura Securities International, Inc. based in New York, New York. Maurice has been working in the securities industry since June 20, 1994. In addition to Nomura Securities International, Inc., Maurice was previously registered with BGC Financial, L.P., Fortus Securities LLC, WestLB Panmure Securities Inc., UBS Warburg LLC, SBC Warburg Dillon Read Inc., SBC Warburg, Inc., Cantor Fitzgerald Securities, and Kidder, Peabody & Co. Incorporated.

Firm Information

Maurice Fiol 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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Maurice Fiol’s Registration & Firm History

NY

09/08/2009 - Present

Nomura Securities International, Inc. (NEW YORK NY)

NY

03/17/2009 - 09/04/2009

BGC FINANCIAL, L.P. (NEW YORK NY)

NY

11/24/2003 - 03/18/2009

FORTIS SECURITIES LLC (NEW YORK NY)

NY

04/09/2001 - 06/09/2003

WESTLB PANMURE SECURITIES INC. (NEW YORK NY)

NY

06/29/1998 - 10/17/2000

UBS WARBURG LLC (NEW YORK NY)

CT

09/02/1997 - 06/29/1998

SBC WARBURG DILLON READ INC. (STAMFORD CT)

NY

09/18/1995 - 09/02/1997

SBC WARBURG, INC. (NEW YORK NY)

NY

03/23/1995 - 11/16/1995

CANTOR FITZGERALD SECURITIES (NEW YORK NY)

NY

06/01/1993 - 02/08/1995

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/30/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/28/1993

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 Maurice Fiol.
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