Daniel R. Poole
Professional summary
Daniel Robert Poole is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1991. Daniel has worked at 24 firms and has passed the Series 63, Series 79TO, SIE, Series 87, Series 16, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Robert Poole's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 24, 2015 - Present
MIZUHO SECURITIES USA LLC
Office #1: 1271 Avenue Of The Americas, New York, NY 10020January 31, 2022 - March 15, 2022
LOOP CAPITAL MARKETS LLC
September 20, 2021 - March 15, 2022
VIII CAPITAL CORP.
May 3, 2021 - March 28, 2022
SMBC NIKKO SECURITIES AMERICA, INC.
February 2, 2021 - March 15, 2022
THE BENCHMARK COMPANY, LLC
September 27, 2019 - December 10, 2021
LONGBOW SECURITIES, LLC
March 7, 2017 - January 6, 2020
MUFG SECURITIES AMERICAS INC.
December 23, 2015 - May 20, 2022
EVERCORE GROUP L.L.C.
February 26, 2015 - April 25, 2019
DREXEL HAMILTON, LLC
October 29, 2014 - July 20, 2015
CLANCY FINANCIAL SERVICES, INC.
October 8, 2014 - December 31, 2015
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
October 15, 2012 - December 22, 2014
EVERCORE GROUP L.L.C.
July 31, 2012 - May 24, 2016
WALLACHBETH CAPITAL LLC
July 6, 2012 - July 19, 2016
THE VERTICAL GROUP
May 3, 2011 - June 12, 2012
AURIGA USA, LLC
April 5, 2011 - October 19, 2011
SOLEIL SECURITIES CORPORATION
February 15, 2011 - January 11, 2016
CRT CAPITAL GROUP LLC
February 7, 2011 - December 15, 2011
AXIOM CAPITAL MANAGEMENT, INC.
September 14, 2010 - January 31, 2012
TICONDEROGA SECURITIES LLC
May 6, 2010 - January 22, 2016
BTIG, LLC
February 19, 2010 - March 14, 2017
THE BENCHMARK COMPANY, LLC
July 13, 2009 - May 17, 2010
PALI CAPITAL, INC.
October 16, 1997 - December 31, 2006
NATCITY INVESTMENTS, INC.
October 2, 1994 - October 1, 1997
FIRST OF MICHIGAN CORPORATION
April 12, 1994 - May 5, 1994
WOODWARD SECURITIES CORPORATION
August 30, 1991 - April 23, 1993
AMERIPRISE ADVISOR SERVICES, 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
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered 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
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