Full text of NOMURA GLOBAL FINANCIAL PRODUCTS 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}------------------------------------------------ #### S TATEMENT OF FINANCIAL CONDITION Nomura Global Financial Products Inc. March 31, 2021 With Report of Independent Auditors {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART 118** #### **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 GLOBAL FINANCIAL PRODUCTS 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** ### **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-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 **0MB** control number. **SEC FILE NUMBER** **8-69208** FIRM ID. NO. (Area Code - Telephone 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 Global Financial Products…Read the full text as markdown