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William Frederick Sylvia

Daiwa Capital Markets America Inc.

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About William Frederick Sylvia

William Frederick Sylvia is a financial professional with over 20 years of experience in the industry. William is currently registered with Daiwa Capital Markets America Inc. in New York, NY. Previously, William was registered with BMO Capital Markets Corp. in Manhasset, NY.

Firm Information

William Sylvia 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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William Sylvia’s Registration & Firm History

NY

07/15/2024 - Present

Daiwa Capital Markets America Inc. (NEW YORK NY)

NY

09/01/2018 - 11/08/2023

BMO CAPITAL MARKETS CORP. (MANHASSET NY)

NY

01/17/2018 - 09/01/2018

KGS-ALPHA CAPITAL MARKETS, L.P. (NEW YORK NY)

NY

09/02/2004 - 02/15/2016

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

07/31/2003 - 08/13/2004

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

05/05/1999 - 04/17/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

TN

03/16/1999 - 04/12/1999

VINING-SPARKS IBG, LIMITED PARTNERSHIP (MEMPHIS TN)

NJ

04/26/1996 - 03/23/1999

G.X. CLARKE & CO. (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 04/02/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/02/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/21/1999

Series 7 - General Securities Representative Examination

BC

Issued 08/31/1998

Series 72 - Government 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 William Frederick Sylvia.
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