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RC

Raymond A. Carso

MIZUHO SECURITIES USA LLC
Chicago, IL 60606-1787
Some features on this profile are disabled
CRD#: 1845096
RC

Professional summary

Raymond Alfred Carso, who also goes by Ray Carso, Raymond A Carso, is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in Chicago, Illinois.

Raymond is registered as a RR (Registered Representative) and started their career in finance in 1988. Raymond has worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ray Carso | Raymond A Carso

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Raymond Alfred Carso's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 30, 2022 - Present

MIZUHO SECURITIES USA LLC

Office #1: 155 North Wacker Drive Suite 2800, Chicago, IL 60606-1787
BD
CRD#: 19647
Chicago, IL
Past

May 24, 2012 - March 25, 2022

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CHICAGO, IL
Past

November 1, 2004 - May 24, 2012

JEFFERIES LLC

BD
CRD#: 2347
CHICAGO, IL
Past

February 25, 2003 - November 1, 2004

BONDS DIRECT SECURITIES LLC

BD
CRD#: 112297
NEW YORK, NY
Past

March 19, 2001 - March 3, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

April 26, 1999 - March 19, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

October 1, 1998 - April 26, 1999

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

October 1, 1993 - October 1, 1998

BANCAMERICA SECURITIES, INC.

BD
CRD#: 17977
SAN FRANCISCO, CA
Past

September 17, 1993 - October 1, 1993

BA INVESTMENT SERVICES, INC.

BD
CRD#: 12965
OAKLAND, CA
Past

September 12, 1988 - August 9, 1990

HARRIS GOVERNMENT SECURITIES INC.

BD
CRD#: 22511

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(3/30/2022)
RR
Alaska
(3/30/2022)
RR
Arizona
(3/30/2022)
RR
Arkansas
(3/30/2022)
RR
California
(3/30/2022)
RR
Colorado
(3/30/2022)
RR
Connecticut
(3/30/2022)
RR
Delaware
(3/30/2022)
RR
District of Columbia
(3/30/2022)
RR
Florida
(3/30/2022)
RR
Georgia
(3/30/2022)
RR
Hawaii
(3/30/2022)
RR
Idaho
(3/30/2022)
RR
Illinois
(3/30/2022)
RR
Indiana
(3/30/2022)
RR
Iowa
(3/30/2022)
RR
Kansas
(3/30/2022)
RR
Kentucky
(3/30/2022)
RR
Louisiana
(3/30/2022)
RR
Maine
(3/30/2022)
RR
Maryland
(3/30/2022)
RR
Massachusetts
(3/30/2022)
RR
Michigan
(3/30/2022)
RR
Minnesota
(3/30/2022)
RR
Mississippi
(3/30/2022)
RR
Missouri
(3/30/2022)
RR
Montana
(3/31/2022)
RR
Nebraska
(3/30/2022)
RR
Nevada
(3/30/2022)
RR
New Hampshire
(3/30/2022)
RR
New Jersey
(3/30/2022)
RR
New Mexico
(3/30/2022)
RR
New York
(3/30/2022)
RR
North Carolina
(3/30/2022)
RR
North Dakota
(3/30/2022)
RR
Ohio
(3/30/2022)
RR
Oklahoma
(3/30/2022)
RR
Oregon
(3/30/2022)
RR
Pennsylvania
(3/30/2022)
RR
Puerto Rico
(3/30/2022)
RR
Rhode Island
(3/30/2022)
RR
South Carolina
(3/30/2022)
RR
South Dakota
(3/30/2022)
RR
Tennessee
(3/30/2022)
RR
Texas
(3/30/2022)
RR
Utah
(3/30/2022)
RR
Vermont
(3/30/2022)
RR
Virginia
(3/30/2022)
RR
Washington
(3/30/2022)
RR
West Virginia
(3/30/2022)
RR
Wisconsin
(3/30/2022)
RR
Wyoming
(3/30/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 5/4/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/13/1990
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/27/1994
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

MS
MIZUHO SECURITIES USA LLC
FUJI SECURITIES INC. | MIZUHO SECURITIES USA LLC | MIZUHO SECURITIES USA INC. | KLEINWORT BENSON GOVERNMENT SECURITIES, INC.

CRD#: 19647 / SEC#: , 8-37710

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1271 Avenue Of The Americas, New York, NY 10020
Mailing Address
1271 Avenue Of The Americas, New York, NY 10020
Phone number
(212) 209-9300
Established
Delaware since 04/08/1994
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MIZUHO AMERICAS LLCDIRECT OWNER
BUCHANAN, JOHN ROBERTMANAGING DIRECTOR/CHIEF OPERATING OFFICER1765774
BUSQUET, JACQUES JEANDIRECTOR3227628
CALLAN MONTELLA, ERIN MARIEDIRECTOR2938656
CONSIDINE, JILL MARIEDIRECTOR5948267
DALY, BRENDAN GERARDCHIEF COMPLIANCE OFFICER1823142
HARTNETT, THOMAS WALTER TIMOTHYMANAGING DIRECTOR & HEAD OF SALES & TRADING3278880
HERRLE, LOUISE MARYDIRECTOR5868706
HOPKINS, ADAM RICHARDMANAGING DIRECTOR & GENERAL COUNSEL5512590
KATZ, MICHAL NMIMANAGING DIRECTOR & HEAD OF INVESTMENT BANKING2813944
KUROSAWA, TATSUYA NMIDIRECTOR8100550
MARTINO, MICHAEL BENEDICTCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER4420944
MATSUURA, SHUJI NMIDIRECTOR & CHAIRMAN7375457
MURPHY, JOHN MACMANAGING DIRECTOR & HEAD OF FUTURES DIVISION1488471
PASQUILL, DARLENE NMIMANAGING DIRECTOR & HEAD OF EQUITY2505982
RIZZIERI, GERALD ANTHONYPRESIDENT & CHIEF EXECUTIVE OFFICER/DIRECTOR1751181
SHIRAISHI, SHIRO NMIDIRECTOR8100597
SKOLLER, RICHARD MARKSECRETARY6663407
TATE, SEIJI NMIDIRECTOR8077227
WONG, DAVID TAI WAIMANAGING DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER4245078
YONEZAWA, TAKEFUMI NMIDIRECTOR8100586

Disclosures

Regulatory Event15
Civil Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MIZUHO SECURITIES USA LLC

CRD#: 19647Chicago, IL 60606-1787

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