DB
Daniel J. Brooks
MIZUHO SECURITIES USA
Chicago, IL 60606-1787
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CRD#: 2368646
DB
Daniel J BrooksMIZUHO SECURITIES USA
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.
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.
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®
NoneExperience
Current
April 3, 2023 - Present
MIZUHO SECURITIES USA LLC
Office #1: 155 North Wacker Drive Suite 2800, Chicago, IL 60606-1787BD
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
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Passed: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIZUHO AMERICAS LLC | DIRECT OWNER | |
| BUSQUET, JACQUES JEAN | DIRECTOR | 3227628 |
| CALLAN MONTELLA, ERIN MARIE | DIRECTOR | 2938656 |
| DALY, BRENDAN GERARD | CHIEF COMPLIANCE OFFICER | 1823142 |
| FLAX, CATHERINE ANNE | DIRECTOR | 3068786 |
| 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 |
| KUSABA, HIROKATA NMI | DIRECTOR | 8104718 |
| MARTINO, MICHAEL BENEDICT | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER/CHIEF OPERATING OFFICER | 4420944 |
| MATSUURA, SHUJI NMI | DIRECTOR | 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 |
| SAMEJIMA, MAKOTO NMI | DIRECTOR | 5137765 |
| SHIRAISHI, SHIRO NMI | DIRECTOR | 8100597 |
| TATE, SEIJI NMI | DIRECTOR & CHAIRPERSON | 8077227 |
| WONG, DAVID TAI WAI | MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER | 4245078 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MIZUHO SECURITIES USA LLC
CRD#: 19647Chicago, IL 60606-1787TRUST BUT VERIFY
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