John A. Broaddus
Professional summary
John Alfred Broaddus III, who also goes by Jay Alfred Broaddus III, Jay Broaddus, John A Broaddus III, John Alfred Broaddus, is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in New York, New York and GREENHILL & CO., LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1994. John has worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Alfred Broaddus III's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 30, 2021 - Present
MIZUHO SECURITIES USA LLC
Office #1: 1271 Avenue Of The Americas, New York, NY 10020June 9, 2026 - Present
GREENHILL & CO., LLC
Office #1: 1271 Avenue Of The Americas, New York, NY 10020June 25, 2010 - December 22, 2020
RBC CAPITAL MARKETS, LLC
October 5, 2009 - May 28, 2010
CANTOR FITZGERALD & CO.
September 5, 2006 - July 14, 2009
BARCLAYS CAPITAL INC.
September 29, 2003 - September 6, 2006
BANC OF AMERICA SECURITIES LLC
June 13, 2002 - August 6, 2003
DEUTSCHE BANK SECURITIES INC.
April 21, 1994 - June 13, 1997
SCOTT & STRINGFELLOW, 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
GREENHILL & CO., LLC
CRD#: 40290 / SEC#: , 8-49000
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENHILL & CO., INC. | OWNER | |
| DALY, BRENDAN GERARD | CHIEF COMPLIANCE OFFICER | 1823142 |
| FALEIRO, GITANJALI PINTO | GENERAL COUNSEL | 4250865 |
| KATZ, MICHAL | MANGING DIRECTOR - HEAD OF INVESTMENT BANKING | 2813944 |
| LASKY, MARK RICHARD | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6005542 |
| MIZUHO SECURITIES USA LLC | MANAGER | 19647 |
| RIZZIERI, GERALD ANTHONY | CHIEF EXECUTIVE OFFICER | 1751181 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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