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Steven Aloupis

Board of Director - Chairman at Nomura Corporate Research and Asset Management

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

0
Past adviser firms
6
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Steven Aloupis is Board of Director - Chairman of Nomura Corporate Research and Asset Management Inc, a New York investment adviser managing $37.6B. Steven Aloupis has a current broker registration and no current investment-adviser registration and has passed 6 licensing exams.

Role at Nomura Corporate Research and Asset Management

Title on Schedule A
Board of Director - Chairman
Control
Steven Aloupis is a control person of Nomura Corporate Research and Asset Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Steven Aloupis has held the filed role since October 2022.

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 99TO and Series 79TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 24, Series 7 and Series 63 · 2007

Registrations and exams

Broker registration; no current adviser registration. Steven Aloupis has passed 6 qualifying exams.

Examinations

Series 6315 August 2007
Name
Uniform Securities Agent State Law Examination
Series 2418 June 2007
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 76 July 2007
Name
General Securities Representative Examination

Individual record

Full name
Steven Nicholas Aloupis
CRD
2498339
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 Steven Aloupis work?

Steven Aloupis has been Board of Director - Chairman of Nomura Corporate Research and Asset Management Inc since October 2022, and is a control person of the firm.

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

Does Steven Aloupis have a current investment-adviser registration?

Steven Aloupis 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 Steven Aloupis passed?

Steven Aloupis has passed 6 licensing exams: the Series 24, Series 7, Series 63, SIE, Series 99TO and Series 79TO. The earliest, the Series 24, was passed in June 2007.

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
  • Neil Daniele
    Chief Compliance Officer
  • 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 2498339. 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 Steven Aloupis 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.