Full text of NOMURA GLOBAL FINANCIAL PRODUCTS 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}------------------------------------------------ ### STATEMENT O F FINANCIAL CONDITION Nomura Global Financial Products Inc. March 31, 2020 With Report of Independent Auditors {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART IIB** | | | | SEC FILE NUMBER | |--|--|--|-----------------| |--|--|--|-----------------| **8-69208** ### **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 GLOBAL FINANCIAL PRODUCTS INC.** ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) #### **WORLDWIDE PLAZA, 309 WEST 49th STREET** | | (No. and Street) | | |----------|------------------|------------| | NEW YORK | 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:** - ^ 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 offacts and circumstances relied on as the basis for the exemption. See section 240.17a-12(n).* 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. OFFICIAL USE ONLY FIRM IU. NO. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** We, Eugene Chiulli and Richard Lunder, swear (or affirm) that, to the best of our knowledge and belief the accompanying statement of financial condition pertaining to the firm of Nomura…Read the full text as markdown