Details

SCOTIA CAPITAL USA INC NFA ID: 0424673

 Current Status 
• FUTURES COMMISSION MERCHANT REGISTERED 
• NFA MEMBER APPROVED 
 FCM Financial Information 
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 Firm Activity Status 
Firm has on-exchange futures and/or options customer accountsYes
Firm is soliciting customersNo
Firm manages futures or options customer accountsNo
Firm operates commodity poolsNo
Firm is engaged in retail off-exchange foreign currency futures and/or optionsNo
 Regulatory Actions 
 AgencyNumber
NFA0
CFTC0
Exchanges0
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 NFA Arbitration Decisions 
 RoleNumber
Claimant0
Respondent0
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 CFTC Reparations Cases 
Total0
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 Formerly Known As 
No other names
 Business Address 
250 VESEY STREET
NEW YORK, NY  10281
UNITED STATES
212-225-5000
 Doing Business As 
No other names
 Listed Principals 
 Listed Principal Name Title(s) 10% or More
Financial Interest
BANK OF NOVA SCOTIA THE
YES
THOMAS WILLIAM DOWNEYCHIEF FINANCIAL OFFICER
NO
KEVIN ANTHONY FELIXCHIEF EXECUTIVE OFFICER
NO
JASON PAUL LAWRENCEDIRECTOR
NO
THOMAS JOSEPH MAHONEYDIRECTOR
CHIEF OPERATING OFFICER
NO
CRISTIAN M MANDACHESCUHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
KEITH EDWARD PECKHOLDTDIRECTOR
NO
MICHAEL A PIRACCICHIEF COMPLIANCE OFFICER
NO
SCOTIA HOLDINGS US INC
YES
SCOTIA HOLDINGS US INC
YES
STEVEN ROY WINTERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
 History 
 Status Effective Date
• FUTURES COMMISSION MERCHANT REGISTERED04/08/2015 
• INTRODUCING BROKER WITHDRAWN04/08/2015 
• FUTURES COMMISSION MERCHANT PENDING03/06/2015 
• NFA MEMBER APPROVED01/05/2011 
• INTRODUCING BROKER REGISTERED01/05/2011 
• NFA MEMBER PENDING09/22/2010 
• INTRODUCING BROKER PENDING09/20/2010