Michael P. Mccarthy
Professional summary
Michael Patrick Mccarthy is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1990. Michael has worked at 13 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Patrick Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 10, 2025 - Present
MIZUHO SECURITIES USA LLC
Office #1: 1271 Avenue Of The Americas, New York, NY 10020June 2, 2020 - August 2, 2023
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 3, 2018 - April 27, 2020
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 31, 2016 - December 6, 2017
EMPOWER FINANCIAL SERVICES, INC.
July 20, 2004 - February 18, 2016
EQUITABLE DISTRIBUTORS, LLC
October 2, 2003 - February 3, 2005
MONY SECURITIES CORPORATION
August 7, 2002 - June 23, 2003
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
January 14, 2000 - September 23, 2002
DWS DISTRIBUTORS, INC.
October 13, 1994 - January 21, 1997
GLOBAL ATLANTIC DISTRIBUTORS, LLC
August 19, 1994 - April 13, 1995
SIGNATOR FINANCIAL SERVICES, INC.
August 12, 1993 - August 22, 1994
CETERA WEALTH SERVICES, LLC
March 1, 1991 - July 3, 1991
MORGAN STANLEY DW INC.
February 16, 1990 - October 15, 1990
HIBBARD BROWN & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
MIZUHO SECURITIES USA LLC
CRD#: 19647 / SEC#: , 8-37710
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIZUHO AMERICAS LLC | DIRECT OWNER | |
| BUCHANAN, JOHN ROBERT | MANAGING DIRECTOR/CHIEF OPERATING OFFICER | 1765774 |
| BUSQUET, JACQUES JEAN | DIRECTOR | 3227628 |
| CALLAN MONTELLA, ERIN MARIE | DIRECTOR | 2938656 |
| CONSIDINE, JILL MARIE | DIRECTOR | 5948267 |
| DALY, BRENDAN GERARD | CHIEF COMPLIANCE OFFICER | 1823142 |
| HARTNETT, THOMAS WALTER TIMOTHY | MANAGING DIRECTOR & HEAD OF SALES & TRADING | 3278880 |
| HERRLE, LOUISE MARY | DIRECTOR | 5868706 |
| HOPKINS, ADAM RICHARD | MANAGING DIRECTOR & GENERAL COUNSEL | 5512590 |
| KATZ, MICHAL NMI | MANAGING DIRECTOR & HEAD OF INVESTMENT BANKING | 2813944 |
| KUROSAWA, TATSUYA NMI | DIRECTOR | 8100550 |
| MARTINO, MICHAEL BENEDICT | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 4420944 |
| MATSUURA, SHUJI NMI | DIRECTOR & CHAIRMAN | 7375457 |
| MURPHY, JOHN MAC | MANAGING DIRECTOR & HEAD OF FUTURES DIVISION | 1488471 |
| PASQUILL, DARLENE NMI | MANAGING DIRECTOR & HEAD OF EQUITY | 2505982 |
| RIZZIERI, GERALD ANTHONY | PRESIDENT & CHIEF EXECUTIVE OFFICER/DIRECTOR | 1751181 |
| SHIRAISHI, SHIRO NMI | DIRECTOR | 8100597 |
| SKOLLER, RICHARD MARK | SECRETARY | 6663407 |
| TATE, SEIJI NMI | DIRECTOR | 8077227 |
| WONG, DAVID TAI WAI | MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER | 4245078 |
| YONEZAWA, TAKEFUMI NMI | DIRECTOR | 8100586 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
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.
