Unclaimed Profile

Richard Daniel Tabizon

NMS CAPITAL ASSET MANAGEMENT, INC.·BEVERLY HILLS, California

SIE, Series 7, Series 9, Series 10, Series 24, Series 31, Series 53, Series 63, Series 6526 years registeredNMS CAPITAL ASSET MANAGEMENT, INC.

433 NORTH CAMDEN DRIVE, BEVERLY HILLS, CA 90210CRD# 2601208Firm CRD# 149678

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard Daniel Tabizon · BEVERLY HILLS, CA

Registration

CRD #2601208 · NMS CAPITAL ASSET MANAGEMENT, INC. · 26 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: NMS CAPITAL ASSET MANAGEMENT, INC.

NMS CAPITAL ASSET MANAGEMENT, INC.

Jan 2011 – Mar 2015

BEVERLY HILLS, CA

EMMETT A LARKIN COMPANY, INC

Sep 2005 – Aug 2009

LONGVIEW, TX

PMB SECURITIES CORP.

Apr 2003 – Mar 2005

NEWPORT BEACH, CA

MORGAN STANLEY

Apr 2000 – Dec 2002

ONTARIO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 24

Series 31

Series 53

Series 63

Series 65

Registration record

First registered · April 13, 2000

Years registered · 26

Disclosure History

2016Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

NMS CAPITAL ASSET MANAGEMENT, INC.

CRD 149678 · SEC 801-70544

AUM

$139M

Regulatory assets under management

Employees

2 client accounts

Services offered by NMS CAPITAL ASSET MANAGEMENT, INC.

Per Form ADV

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

View all advisors at NMS CAPITAL ASSET MANAGEMENT, INC. →

Introduction

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Frequently Asked Questions

What services does Richard Daniel Tabizon offer?

Richard Daniel Tabizon specializes in Investment Management, Retirement Planning, Wealth Management.

What are Richard Daniel Tabizon's credentials?

Richard Daniel Tabizon is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Richard Daniel Tabizon located?

Richard Daniel Tabizon is based in BEVERLY HILLS, California, last registered with NMS CAPITAL ASSET MANAGEMENT, INC..

How does Richard Daniel Tabizon charge for services?

Richard Daniel Tabizon's firm is compensated through percentage of aum, hourly charges, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is NMS CAPITAL ASSET MANAGEMENT, INC.?

NMS CAPITAL ASSET MANAGEMENT, INC. has approximately 9 employees and manages $139M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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