Mark A. Tuttle

MIZUHO SECURITIES USA LLC

NEW YORK, NY 10020

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CRD#: 2581651

Professional summary

Mark Allen Tuttle, who also goes by Mark Allen Tuttle, Mark Allen Allen Tuttle, is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in New York, New York and MIZUHO SECURITIES CANADA INC. located in New York, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1995. Mark has worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mark Allen Tuttle | Mark Allen Allen Tuttle

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 Mark Allen Tuttle'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

November 18, 2016 - Present

MIZUHO SECURITIES USA LLC

Office #1: 1271 Avenue Of The Americas, New York, NY 10020

CRD#: 19647

NEW YORK, NY

Current

June 12, 2023 - Present

MIZUHO SECURITIES CANADA INC.

Office #1: 1271 Avenue Of The Americas Floors 2,3,4,18,19, New York, NY 10020

CRD#: 300059

NEW YORK, NY

Past

October 26, 2009 - September 1, 2016

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

October 1, 2008 - December 24, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

October 15, 1999 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

June 29, 1998 - October 6, 1999

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

September 2, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

August 11, 1997 - September 2, 1997

SBC WARBURG, INC.

CRD#: 23745

NEW YORK, NY

Past

February 21, 1995 - July 14, 1997

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(11/18/2016)

Alaska
(11/18/2016)

Arizona
(11/18/2016)

Arkansas
(11/18/2016)

California
(11/18/2016)

Colorado
(11/18/2016)

Connecticut
(11/18/2016)

Delaware
(11/18/2016)

District of Columbia
(11/18/2016)

Florida
(11/18/2016)

Georgia
(11/18/2016)

Hawaii
(11/18/2016)

Idaho
(11/18/2016)

Illinois
(11/18/2016)

Indiana
(11/18/2016)

Iowa
(11/18/2016)

Kansas
(11/18/2016)

Kentucky
(11/18/2016)

Louisiana
(11/18/2016)

Maine
(11/18/2016)

Maryland
(11/18/2016)

Massachusetts
(11/18/2016)

Michigan
(11/18/2016)

Minnesota
(11/18/2016)

Mississippi
(11/18/2016)

Missouri
(11/18/2016)

Montana
(11/18/2016)

Nebraska
(11/18/2016)

Nevada
(11/18/2016)

New Hampshire
(11/18/2016)

New Jersey
(11/18/2016)

New Mexico
(11/18/2016)

New York
(11/18/2016)

North Carolina
(11/20/2016)

North Dakota
(11/18/2016)

Ohio
(11/18/2016)

Oklahoma
(11/18/2016)

Oregon
(11/18/2016)

Pennsylvania
(11/18/2016)

Puerto Rico
(11/18/2016)

Rhode Island
(11/18/2016)

South Carolina
(11/18/2016)

South Dakota
(11/18/2016)

Tennessee
(11/18/2016)

Texas
(11/18/2016)

Utah
(11/18/2016)

Vermont
(11/18/2016)

Virginia
(11/18/2016)

Washington
(11/18/2016)

West Virginia
(11/18/2016)

Wisconsin
(11/18/2016)

Wyoming
(11/18/2016)

Exams

State Security Law Exam

Series 63

Date: 3/10/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/17/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/12/2005

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

MIZUHO SECURITIES CANADA INC.

CRD#: 300059 / SEC#: , 8-70287

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

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Contact information

Main Address

1271 Avenue Of The Americas Floors - 2,3,4,18,19, New York, NY 10020

Mailing Address

1271 Avenue Of The Americas Floors - 2,3,4,18,19, New York, NY 10020

Phone number

(212) 209-9300

Established

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MIZUHO SECURITIES USA LLC	DIRECT OWNER	19647
MARTINO, MICHAEL BENEDICT	CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER	4420944
POMPONIO, NICOLA	CHIEF COMPLIANCE OFFICER//DIRECTOR	4835220
RIZZIERI, GERALD ANTHONY	DIRECTOR	1751181
TRACHSEL, WILLIAM SCOTT	VICE PRESIDENT/OFFICER	2518542
TUTTLE, MARK ALLEN	CHIEF EXECUTIVE OFFICER	2581651
WEISMER, JOSHUA STEVEN	VICE PRESIDENT/OFFICER	3117586
WONG, DAVID T	MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER	4245078

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.

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Advisor Monitoring

Firm Stability Insights

Mark A. Tuttle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Allen Tuttle's CRS (Customer Relationship Summary).

Certified licenses

Experience

MIZUHO SECURITIES CANADA INC.

UBS SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

UBS SECURITIES LLC

SBC WARBURG DILLON READ INC.

SBC WARBURG, INC.

CITICORP SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/10/1995

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/17/1995

Series 24

Date: 4/12/2005

FINRA

Nasdaq Stock Market

Current Firm

MIZUHO SECURITIES CANADA INC.

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MIZUHO SECURITIES CANADA INC.

TRUST BUT VERIFY

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