Michael Y. Chen
Professional summary
Michael Yao Chen, who also goes by Michael Chen, is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Yao Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 24, 2021 - Present
MIZUHO SECURITIES USA LLC
Office #1: 1285 Avenue Of The Americas , New York, NY 10019October 29, 2014 - March 23, 2021
MIZUHO SECURITIES USA LLC
June 1, 2009 - June 28, 2013
MORGAN STANLEY
January 30, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 14, 2006 - October 5, 2007
UBS SERVICES USA LLC
March 21, 2005 - July 12, 2006
UBS SECURITIES LLC
October 1, 2000 - March 10, 2004
UBS SERVICES USA LLC
May 5, 1998 - September 22, 1999
PRUDENTIAL EQUITY GROUP, LLC
July 5, 1996 - January 22, 1998
NEBRASKA HUDSON COMPANY, INC.
March 5, 1996 - March 6, 1996
INVESTEX SECURITIES GROUP, INC.
January 5, 1996 - June 25, 1996
INVESTORS ASSOCIATES, INC.
October 24, 1994 - February 6, 1995
CHATFIELD DEAN & CO., 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
(3/24/2021)
Exams
FINRA
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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