Full text of NOMURA SECURITIES INTERNATIONAL, INC.'s X-17A-5 filed 2021-06-01 (period 2021-03-31). 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, 2021 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 **0MB APPROVAL** 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden Hours per response .... 12.00 SEC FILE NUMBER 8-15255 ### **ANNUAL AUDITED REPORT FORM X-17 A-5 PART** Ill **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, 2020** AND ENDING **March 31, 2021** ### **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.) #### **8. ACCOUNT ANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* **Ernst** & **Young LLP** | (Name - of individual, state last, first, middle name) | | | | |--------------------------------------------------------|----------|---------|------------| | 5 Times Square | New York | NY | 10036 | | (Address) | (City) | (State) | (Zip Code) | #### **CHECK ONE:** ✓ 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 0MB control number. FIRM ID. NO. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** We, Eugene Chiulli and William Hughes, sw…Read the full text as markdown