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Steven Frias

Daiwa Capital Markets America Inc.

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About Steven Frias

Steven Frias is a registered representative with Daiwa Capital Markets America Inc.. Steven has been in the industry since June 7, 2021. Steven holds the Series 99TO and SIE licenses.

Firm Information

Steven Frias 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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Steven Frias’s Registration & Firm History

NY

06/07/2021 - Present

Daiwa Capital Markets America Inc. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/07/2021

Series 99TO - Operations Professional Examination

BC

Issued 04/05/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven Frias.
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