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DB

Daniel J. Brooks

MIZUHO SECURITIES USA LLC
Chicago, IL 60606-1787
Some features on this profile are disabled
CRD#: 2368646
DB

Professional summary

Daniel J Brooks, who also goes by Daniel John Brooks, Daniel Brooks, is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in Chicago, Illinois.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1996. Daniel has worked at 5 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel John Brooks | Daniel Brooks

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel J Brooks'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®
None

Experience

Current

April 3, 2023 - Present

MIZUHO SECURITIES USA LLC

Office #1: 155 North Wacker Drive Suite 2800, Chicago, IL 60606-1787
BD
CRD#: 19647
Chicago, IL
Past

May 10, 2019 - March 20, 2023

BOFA SECURITIES, INC.

BD
CRD#: 283942
CHICAGO, IL
Past

January 15, 2003 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHICAGO, IL
Past

April 3, 2000 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHICAGO, IL
Past

January 28, 1998 - March 29, 2000

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

February 13, 1996 - January 21, 1998

HARTFIELD, TITUS & DONNELLY, LLC

BD
CRD#: 7117
JERSEY CITY, NJ

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
(4/3/2023)
RR
Alaska
(4/3/2023)
RR
Arizona
(4/3/2023)
RR
Arkansas
(4/3/2023)
RR
California
(4/3/2023)
RR
Colorado
(4/3/2023)
RR
Connecticut
(4/3/2023)
RR
Delaware
(4/3/2023)
RR
District of Columbia
(4/3/2023)
RR
Florida
(4/3/2023)
RR
Georgia
(4/3/2023)
RR
Hawaii
(4/3/2023)
RR
Idaho
(4/3/2023)
RR
Illinois
(4/3/2023)
RR
Indiana
(4/3/2023)
RR
Iowa
(4/3/2023)
RR
Kansas
(4/3/2023)
RR
Kentucky
(4/3/2023)
RR
Louisiana
(4/3/2023)
RR
Maine
(4/3/2023)
RR
Maryland
(4/3/2023)
RR
Massachusetts
(4/3/2023)
RR
Michigan
(4/3/2023)
RR
Minnesota
(4/3/2023)
RR
Mississippi
(4/3/2023)
RR
Missouri
(4/3/2023)
RR
Montana
(4/18/2023)
RR
Nebraska
(4/3/2023)
RR
Nevada
(4/3/2023)
RR
New Hampshire
(4/3/2023)
RR
New Jersey
(4/3/2023)
RR
New Mexico
(4/3/2023)
RR
New York
(4/3/2023)
RR
North Carolina
(4/3/2023)
RR
North Dakota
(4/3/2023)
RR
Ohio
(4/3/2023)
RR
Oklahoma
(4/3/2023)
RR
Oregon
(4/3/2023)
RR
Pennsylvania
(4/3/2023)
RR
Puerto Rico
(4/3/2023)
RR
Rhode Island
(4/3/2023)
RR
South Carolina
(4/3/2023)
RR
South Dakota
(4/3/2023)
RR
Tennessee
(4/3/2023)
RR
Texas
(4/3/2023)
RR
Utah
(4/3/2023)
RR
Vermont
(4/3/2023)
RR
Virginia
(4/3/2023)
RR
Washington
(4/3/2023)
RR
West Virginia
(4/3/2023)
RR
Wisconsin
(4/3/2023)
RR
Wyoming
(4/3/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/7/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/2/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 1/9/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/12/1996
General Securities Representative Examination
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 USA LLC
FUJI SECURITIES INC. | MIZUHO SECURITIES USA LLC | MIZUHO SECURITIES USA INC. | KLEINWORT BENSON GOVERNMENT SECURITIES, INC.

CRD#: 19647 / SEC#: , 8-37710

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1271 Avenue Of The Americas, New York, NY 10020
Mailing Address
1271 Avenue Of The Americas, New York, NY 10020
Phone number
(212) 209-9300
Established
Delaware since 04/08/1994
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MIZUHO AMERICAS LLCDIRECT OWNER
BUCHANAN, JOHN ROBERTMANAGING DIRECTOR/CHIEF OPERATING OFFICER1765774
BUSQUET, JACQUES JEANDIRECTOR3227628
CALLAN MONTELLA, ERIN MARIEDIRECTOR2938656
CONSIDINE, JILL MARIEDIRECTOR5948267
DALY, BRENDAN GERARDCHIEF COMPLIANCE OFFICER1823142
HARTNETT, THOMAS WALTER TIMOTHYMANAGING DIRECTOR & HEAD OF SALES & TRADING3278880
HERRLE, LOUISE MARYDIRECTOR5868706
HOPKINS, ADAM RICHARDMANAGING DIRECTOR & GENERAL COUNSEL5512590
KATZ, MICHAL NMIMANAGING DIRECTOR & HEAD OF INVESTMENT BANKING2813944
KUROSAWA, TATSUYA NMIDIRECTOR8100550
MARTINO, MICHAEL BENEDICTCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER4420944
MATSUURA, SHUJI NMIDIRECTOR & CHAIRMAN7375457
MURPHY, JOHN MACMANAGING DIRECTOR & HEAD OF FUTURES DIVISION1488471
PASQUILL, DARLENE NMIMANAGING DIRECTOR & HEAD OF EQUITY2505982
RIZZIERI, GERALD ANTHONYPRESIDENT & CHIEF EXECUTIVE OFFICER/DIRECTOR1751181
SHIRAISHI, SHIRO NMIDIRECTOR8100597
SKOLLER, RICHARD MARKSECRETARY6663407
TATE, SEIJI NMIDIRECTOR8077227
WONG, DAVID TAI WAIMANAGING DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER4245078
YONEZAWA, TAKEFUMI NMIDIRECTOR8100586

Disclosures

Regulatory Event15
Civil Event1

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.

Company Information

MIZUHO SECURITIES USA LLC

CRD#: 19647Chicago, IL 60606-1787

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