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Neil Daniele

Chief Compliance Officer at Nomura Corporate Research and Asset Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Neil Daniele is Chief Compliance Officer of Nomura Corporate Research and Asset Management Inc, a New York investment adviser managing $37.6B. Neil Daniele has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Nomura Corporate Research and Asset Management

Title on Schedule A
Chief Compliance Officer
Control
Neil Daniele is a control person of Nomura Corporate Research and Asset Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Neil Daniele has held the filed role since April 2009.

The firm

Nomura Corporate Research and Asset Management Inc
New York, NY

Form ADV filed 24 June 2026

$37.6B AUM66 clients25 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed Series 10 · 2023
  2. Passed SIE · 2018
  3. Passed Series 63 and Series 24 · 1997
  4. Passed Series 7 · 1996

Registrations and exams

Broker registration; no current adviser registration. Neil Daniele has passed 5 qualifying exams.

Examinations

Series 6325 March 1997
Name
Uniform Securities Agent State Law Examination
Series 102 January 2023
Name
General Securities Sales Supervisor - General Module Examination
Series 2425 March 1997
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 727 September 1996
Name
General Securities Representative Examination

Individual record

Full name
Neil Anthony Daniele
CRD
1180331
Firm
Nomura Corporate Research and Asset Management Inc
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Neil Daniele work?

Neil Daniele has been Chief Compliance Officer of Nomura Corporate Research and Asset Management Inc since April 2009, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 24 June 2026

Does Neil Daniele have a current investment-adviser registration?

Neil Daniele has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Neil Daniele passed?

Neil Daniele has passed 5 licensing exams: the Series 7, Series 63, Series 24, SIE and Series 10. The earliest, the Series 7, was passed in September 1996.

Source: IAPD individual record, checked 17 October 2026

Leadership at Nomura Corporate Research and Asset Management

  • David Crall
    President, Chief Executive Officer, Chief Investment Officer, Managing Director, Board of Director
  • Eugene Chiulli
    Treasurer, Chief Financial Officer
  • Steven Aloupis
    Board of Director - Chairman
  • Yusuke Andoh
    Board of Director
  • Amy Chang
    Managing Director and Portfolio Manager
  • Melanie Hawthorne
    Head of Legal
  • Stephen Kotsen
    Managing Director and Portfolio Manager
  • Eugene Shuster
    Managing Director - Head of Risk
  • Meno Stroemer
    Managing Director, Portfolio Manager

Sources

  1. IAPD individual record, CRD 1180331. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Nomura Corporate Research and Asset Management Inc, filed 24 June 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Neil Daniele or Nomura Corporate Research and Asset Management Inc and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.