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DSEEY on OTC

Daiwa Securities Group

Logo: © Daiwa Securities Group Inc., Public domain, via Wikimedia Commons5

Japanese company

Daiwa Securities Group Inc. (大和証券グループ本社, Daiwa Shōken Gurūpu Honsha) is a Japanese investment bank that is Japan's second largest securities brokerage after Nomura Securities.3 Its shares trade on OTC under the symbol DSEEY.1 Wikipedia text CC BY-SA 4.0

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Last updated Oct 21, 2026.

Overview

Dec 27, 1943Founded1

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  • TickerDSEEY on OTC1
  • Industryinvestment bank1
  • HeadquartersMarunouchi1
  • Websitewww.daiwa-grp.jp
  • Legal formkabushiki gaisha1
  • Incorporated inJapan6
  • Business address9-1 Marunouchi 1-Chome, Grantokyo North Tower, Chiyoda-Ku,Tokyo, 100-67516
  • LEI353800WRC7Y23PWFJG384
  • StatusActive4
  • LEI statusIssued and current4
  • Registered address丸の内一丁目９番１号, 100-6751 東京都 千代田区, Japan4
  • Registered withLegal Affairs Bureau, 0100-01-0088554

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Gran Tokyo North Tower
Photo: Akonnchiroll, CC BY-SA 4.0, via Wikimedia Commons19

Daiwa Securities Group Inc. (大和証券グループ本社, Daiwa Shōken Gurūpu Honsha) is a Japanese investment bank that is Japan's second largest securities brokerage after Nomura Securities.3

Corporate structure

Daiwa Securities Group sits at the top of its group. 36 entities, 8 countries on record. Switch between the flow chart and the network, and select any entity to see its details.

  • Daiwa Securities Group 東京都 千代田区, Japan
    • DAIWA CORPORATE ADVISORY INDIA PRIVATE LIMITED Bangalore, India
    • DAIWA CORPORATE ADVISORY LIMITED London, United Kingdom
    • 大和アセットマネジメント株式会社 東京都 千代田区, Japan
      • DAIWA ASSET MANAGEMENT (AMERICA) LTD. New York, New York, United States
      • DAIWA ASSET MANAGEMENT (SINGAPORE) LTD. Chiyoda ku, Japan
        • "RICI" Class A Fund · Singapore, Singapore
        • Daiwa Japan Nikkei 225 Bear Fund Ver. 4 Fund · Singapore, Singapore
        • Daiwa Japan Nikkei 225 Bear Fund Ver. 5 Fund · Singapore, Singapore
        • Daiwa Japan Nikkei 225 Bear Shift Fund Ver.2 Fund · Singapore, Singapore
        • Daiwa Japan Nikkei 225 Index Fund Fund · Singapore, Singapore
        • Daiwa Japan Tokyo Stock Exchange REIT Index Bear Fund Fund · Singapore, Singapore
        • Daiwa Japan Tokyo Stock Exchange REIT Index Bear Fund Ver.2 Fund · Singapore, Singapore
        • Daiwa Japan TOPIX Bear Fund Ver. 2 Fund · Singapore, Singapore
        • Daiwa Japan TOPIX Bear Fund Ver. 3 Fund · Singapore, Singapore
        • Daiwa Japan TOPIX Bear Fund Ver. 4 Fund · Singapore, Singapore
        • Daiwa Japan TOPIX Index Fund Fund · Singapore, Singapore
        • DAIWA US NASDAQ 100 Index Fund Fund · Singapore, Singapore
        • Daiwa US S&P 500 Bear Fund Fund · Singapore, Singapore
      • 大和かんぽオルタナティブインベストメンツ株式会社 東京都 千代田区, Japan
      • ASSET ALLOCATION STRATEGY FUND (USD-DENOMINATED/PRIVATE PLACEMENT FOR GENERAL INVESTORS) Fund · Camana Bay, Grand Cayman, Cayman Islands
      • Daiwa US S&P 500 Index Fund Fund · Tokyo, Japan
      • GIM Multi Asset Strategy Fund (USD-Denominated/Private Placement for General Investors) Fund · Chiyoda-ku, Japan
    • 大和企業投資株式会社 東京都 千代田区, Japan
    • 大和証券株式会社 東京都 千代田区, Japan
    • 株式会社大和ネクスト銀行 東京都 千代田区, Japan
    • Daiwa Next Bank Subsidiary
    • DAIWA CAPITAL MARKETS INDIA PRIVATE LIMITED Subsidiary · Mumbai, India
    • DAIWA INTERNATIONAL HOLDINGS INC. Subsidiary · Chiyoda-Ku, Japan
      • DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. New York, New York, United States
        • Daiwa America Strategic Advisors Corp New York, New York, United States
        • DAIWA CAPITAL MARKETS AMERICA INC. Subsidiary · New York, New York, United States
        • DAIWA CORPORATE ADVISORY HOLDINGS INC. Subsidiary · New York, New York, United States
      • DAIWA CAPITAL MARKETS EUROPE LIMITED Subsidiary · London, United Kingdom
        • Daiwa Capital Markets Deutschland GmbH Subsidiary · Frankfurt, Germany
      • Daiwa Capital Markets Hong Kong Limited Subsidiary · Central and Western District, Hong Kong

Built from parent and subsidiary links from GLEIF, the Global Legal Entity Identifier Foundation (CC0); subsidiaries, stakes and holdings from Wikidata (CC0). Each entity in the chart links to its source.

The story

Daiwa Securities SB Capital Markets

The company was founded in 1999 as Daiwa Securities SB Capital Markets Co. Ltd., a joint venture between Daiwa Securities Group (Daiwa) and Sumitomo Bank (SB). It was renamed in 2001 to Daiwa Securities SMBC Co. Ltd., after Sumitomo Bank merged with Sakura Bank on 1 April 2001 to form Sumitomo Mitsui Banking Corporation (SMBC), a wholly owned subsidiary of Sumitomo Mitsui Financial Group (SMFG). However, in 2010, SMBC acquired Nikko Cordial (Japan's third-largest brokerage at that time).

Daiwa Securities Capital Markets Company

Following this step, Daiwa dissolved the joint-venture with SMBC and re-acquired 100% of the shares in the company, before renaming it again as Daiwa Securities Capital Markets Co. Ltd. Finally, about two years later, the company was absorbed in a merger, leaving Daiwa Securities Co. Ltd as the sole entity.

DC Advisory

In May 2009, Daiwa acquired the corporate finance division of Close Brothers Group. In 2010, it was renamed to DC Advisory and now acts as the corporate finance arm of Daiwa.

From Wikipedia’s article on Daiwa Securities Group, shared under CC BY-SA 4.0.7

Leadership

Named in SEC Form D filings

People the company listed in its private-offering notices.

  • DirectorOkado Takeshi named Jul 9, 202620

Products and brands

  • financial services

Listed on Wikidata.1

Subsidiaries and ownership

Subsidiaries

Subsidiaries (GLEIF)

Also consolidated

From Wikidata.1 Ownership links from GLEIF, the Global Legal Entity Identifier Foundation (CC0); each one cites its LEI record.

Timeline

  1. Dec 27, 1943Founded Founded1

Filings

29 filings to the SEC since October 2021: 5 private raises, 24 other. The latest 20:

  1. Aug 20, 2026N-PX EDGAR
  2. Jul 31, 202613F-HR EDGAR
  3. Jul 9, 2026D/A EDGAR
  4. May 13, 202613F-HR EDGAR
  5. Feb 11, 202613F-HR EDGAR
  6. Nov 14, 202513F-HR EDGAR
  7. Sep 2, 2025N-PX/A EDGAR
  8. Aug 19, 2025N-PX EDGAR
  9. Aug 14, 202513F-HR EDGAR
  10. Jun 27, 2025D/A EDGAR
  11. May 13, 202513F-HR EDGAR
  12. Feb 7, 202513F-HR EDGAR
  13. Nov 12, 202413F-HR EDGAR
  14. Aug 30, 2024N-PX EDGAR
  15. Aug 7, 202413F-HR EDGAR
  16. Jun 28, 2024D/A EDGAR
  17. May 2, 202413F-HR EDGAR
  18. Jan 31, 202413F-HR EDGAR
  19. Nov 1, 202313F-HR EDGAR
  20. Jul 31, 202313F-HR EDGAR

The 29 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Funding

Where the company's money came from, by calendar year: private offerings filed with the SEC, federal grants, loans, contracts and other assistance from USAspending.gov, and PPP loans from the SBA. Each bar links to the records below.

Money received by year$599.8K 2018–2018
Money received by yearMoney received by year, 2018–2018: $599.8K in all. Private raises (Form D) $599.8K.$0$200K$400K$600K2018 · Private raises (Form D): $599.8K2018
Figures by year
YearPrivate raises (Form D)Total
2018$599.8K$599.8K

Private raises

Private offerings the company reported to the SEC on Form D. The amount is what the latest filing says was sold so far, charted in the year of the first sale. Covers filings since Oct 1, 2021.

  1. Jul 24, 2018Raised $599,840 in a private offering of equity20 Form D: 3 investors so far Form D

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026. Change is in shares since the quarter before.

FundSharesValueShare of the fundChange
Great Lakes Advisors, LLC407,250$4.0M0.0%+67,665
CHICAGO TRUST Co NA55,789$547.7K0.1%+1,705
Moran Wealth Management, LLC11,407$113.4K0.0%New
GAMMA Investing LLC120$1.2K0.0%No change

13F reports cover disclosed long positions in U.S. stocks only.

SEC filer profile

How Daiwa Securities Group is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

  • Name on EDGARDaiwa Securities Group Inc.2
  • CIK0001481045
  • Incorporated inJapan2
  • Fiscal year endsMarch 312
  • Industry code (SIC)8880 American Depositary Receipts2
  • SEC reviewing officeOffice of International Corp Fin, Division of Corporation Finance2
  • Business address9-1 Marunouchi 1-Chome, Grantokyo North Tower, Chiyoda-Ku,Tokyo, Tokyo 100-6751, Japan2
  • Phone81-3-5555-13002
  • On EDGAR sinceJan 26, 20102
  • Filings91 in all: 13F-HR (63), 13F-HR/A (12), D/A (8), N-PX (3), D (1), EFFECT (1), F-6 (1), F-6 POS (1)2
    All 9 form types

    N-PX/A (1)

Sources

The numbers on this page point here. Each one links to the record it came from.

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