Steven S. Kim
Professional summary
Steven S Kim, who also goes by Steven Kim, is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in Iselin, New Jersey.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2012. Steven has worked at 12 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven S Kim's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2022 - Present
MIZUHO SECURITIES USA LLC
Office #1: 101 Wood Avenue South 3rd Floor, Iselin, NJ 08830February 15, 2022 - April 19, 2022
MORGAN STANLEY & CO. LLC
December 6, 2018 - May 27, 2020
CFWP SECURITIES, LLC
December 6, 2018 - November 20, 2020
CASTLEOAK SECURITIES, LP
December 6, 2018 - January 11, 2021
SUNRISE BROKERS LLC
December 6, 2018 - January 11, 2021
MINT BROKERS
December 6, 2018 - January 11, 2021
GFI SECURITIES LLC
December 6, 2018 - January 11, 2021
FMX EXECUTION, LLC
December 6, 2018 - January 11, 2021
CF SECURED, LLC
December 6, 2018 - January 11, 2021
BGC FINANCIAL, L.P.
December 6, 2018 - January 11, 2021
AQUA SECURITIES L.P.
September 18, 2012 - January 11, 2021
CANTOR FITZGERALD & CO.
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
FINRA
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
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