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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 10% or More
Financial Interest
RICHARD AGATACHIEF COMPLIANCE OFFICERNO
BANK OF NOVA SCOTIA THEYES
CRISTIAN M MANDACHESCUHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
LORETTA MARCOCCIADIRECTORNO
JOHN FRANCIS MCCARTNEYDIRECTORNO
PAUL DAVID MCKEOWNDIRECTORNO
JAMES PRESTON MORRISDIRECTORNO
DANIEL THOMAS MURPHYDIRECTORNO
KEITH EDWARD PECKHOLDTDIRECTORNO
MICHAEL A PIRACCICHIEF COMPLIANCE OFFICERNO
GARY F RUPERTCHIEF EXECUTIVE OFFICERNO
SCOTIA HOLDINGS US INC YES
SCOTIA HOLDINGS US INC YES
LEE JAY TARAGINCHIEF FINANCIAL OFFICERNO
STEVEN ROY WINTERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
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 
 
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