Full text of NOMURA SECURITIES INTERNATIONAL, INC.'s X-17A-5 filed 2020-06-01 (period 2020-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### C ONSOLIDATED S TATEMENT OF F INANCIAL C ONDITION Nomura Securities International, Inc. (A subsidiary of Nomura Holding America Inc.) March 31, 2020 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** **OMB APPROVAL OWIB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden Hours perresponse....12.00** **nkM iu. nu.** **SEC FILE NUMBER** **8-15255** #### **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** REPORT FOR THE PERIOD BEGINNING **April 1,2019** AND ENDING **March 31,2020** ## **A. REGISTRANT IDENTIFICATION** NAME OF BROKER-DEALER: **NOMURA SECURITIES INTERNATIONAL, INC.** OFFICIAL USE ONLY ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) ---------------------------- #### **WORLDWIDE PLAZA, 309 WEST 49th STREET** | NEW YORK | (No. and Street)<br>NEW YORK | 10019-7316 | |----------|------------------------------|------------| | (City) | (State) | (Zip Code) | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT **Christy Schaffner (212)667-8903** (Area Code - Telephone No.) ## **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* **Ernst & Young LLP** | (Name -<br>ofindividual, state last, first, middle name) | | | | |----------------------------------------------------------|----------|---------|------------| | 5 Times Square | New York | NY | 10036 | | (Address) | (City) | (State) | (Zip Code) | #### **CHECK ONE:** - v\* Certified Public Accountant - Public Accountant Accountant not resident in United States or any of its possessions. #### **FOR OFFICIAL USE ONLY** *'Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240.17a-5(e)(2).* *SEC* 1410 (06-02) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** We, Eugene C…Read the full text as markdown