SR
Stephen F. Roney
MIZUHO SECURITIES USA LLC
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 1932183
SR
Professional summary
Stephen Francis Xavier Roney, CFP®, who also goes by Stephen Francis Xavier Coney, is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in New York, New York and MIZUHO SECURITIES CANADA INC. located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1989. Stephen has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 79, Series 55, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephen Francis Xavier Coney
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.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Francis Xavier Roney'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®
Experience
Current
May 5, 2015 - Present
MIZUHO SECURITIES USA LLC
Office #1: 1271 Avenue Of The Americas, New York, NY 10020BD
CRD#: 19647
NEW YORK, NY
Current
February 8, 2024 - Present
MIZUHO SECURITIES CANADA INC.
Office #1: 1271 Avenue Of The Americas Floors 2,3,4,18,19, New York, NY 10020BD
CRD#: 300059
NEW YORK, NY
Past
July 2, 1999 - April 27, 2015
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
November 28, 1995 - June 21, 1999
SANTANDER INVESTMENT SECURITIES INC.
BD
CRD#: 37216
NEW YORK, NY
Past
April 18, 1989 - August 14, 1995
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
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(5/5/2015)
RR
Alaska(5/5/2015)
RR
Arizona(5/5/2015)
RR
Arkansas(5/5/2015)
RR
California(5/5/2015)
RR
Colorado(5/5/2015)
RR
Connecticut(5/5/2015)
RR
Delaware(5/5/2015)
RR
District of Columbia(5/5/2015)
RR
Florida(5/5/2015)
RR
Georgia(5/5/2015)
RR
Hawaii(5/5/2015)
RR
Idaho(5/5/2015)
RR
Illinois(5/5/2015)
RR
Indiana(5/5/2015)
RR
Iowa(5/5/2015)
RR
Kansas(5/5/2015)
RR
Kentucky(5/5/2015)
RR
Louisiana(5/5/2015)
RR
Maine(5/5/2015)
RR
Maryland(5/5/2015)
RR
Massachusetts(5/5/2015)
RR
Michigan(5/5/2015)
RR
Minnesota(5/5/2015)
RR
Mississippi(5/5/2015)
RR
Missouri(5/5/2015)
RR
Montana(5/5/2015)
RR
Nebraska(5/5/2015)
RR
Nevada(5/5/2015)
RR
New Hampshire(5/5/2015)
RR
New Jersey(5/5/2015)
RR
New Mexico(5/5/2015)
RR
New York(5/5/2015)
RR
North Carolina(5/5/2015)
RR
North Dakota(5/5/2015)
RR
Ohio(5/5/2015)
RR
Oklahoma(5/5/2015)
RR
Oregon(5/5/2015)
RR
Pennsylvania(5/5/2015)
RR
Puerto Rico(5/5/2015)
RR
Rhode Island(5/5/2015)
RR
South Carolina(5/5/2015)
RR
South Dakota(5/5/2015)
RR
Tennessee(5/5/2015)
RR
Texas(5/5/2015)
RR
Utah(5/5/2015)
RR
Vermont(5/5/2015)
RR
Virginia(5/5/2015)
RR
Washington(5/5/2015)
RR
West Virginia(5/5/2015)
RR
Wisconsin(5/5/2015)
RR
Wyoming(5/5/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/19/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MS
MIZUHO SECURITIES CANADA INC.
MIZUHO SECURITIES CANADA INC.
CRD#: 300059 / SEC#: , 8-70287
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1271 Avenue Of The Americas Floors - 2,3,4,18,19, New York, NY 10020
Mailing Address
1271 Avenue Of The Americas Floors - 2,3,4,18,19, New York, NY 10020
Phone number
(212) 209-9300
Established
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIZUHO SECURITIES USA LLC | DIRECT OWNER | 19647 |
| MARTINO, MICHAEL BENEDICT | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 4420944 |
| POMPONIO, NICOLA | CHIEF COMPLIANCE OFFICER//DIRECTOR | 4835220 |
| RIZZIERI, GERALD ANTHONY | DIRECTOR | 1751181 |
| TRACHSEL, WILLIAM SCOTT | VICE PRESIDENT/OFFICER | 2518542 |
| TUTTLE, MARK ALLEN | CHIEF EXECUTIVE OFFICER | 2581651 |
| WEISMER, JOSHUA STEVEN | VICE PRESIDENT/OFFICER | 3117586 |
| WONG, DAVID T | MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER | 4245078 |
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.
