TH
Tiffany D. Hargis
CSP SECURITIES, LP
Dallas, TX 75240
Some features on this profile are disabled
CRD#: 2931402
TH
Professional summary
Tiffany Dae Hargis, who also goes by Tiffany Dae Hargis, Tiffany Dae Lauterbach, Tiffany Dae Swanson, is a registered financial professional currently at CSP SECURITIES, LP located in Dallas, Texas and MIZUHO SECURITIES USA LLC located in Dallas, Texas.
Tiffany is registered as a RR (Registered Representative) and started their career in finance in 1998. Tiffany has worked at 7 firms and has passed the Series 63, Series 66, Series 82TO, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 24, Series 28, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tiffany Dae Hargis | Tiffany Dae Lauterbach | Tiffany Dae Swanson
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 Tiffany Dae Hargis'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
November 6, 2007 - Present
CSP SECURITIES, LP
Office #1: 13355 Noel Road Suite 1600, Dallas, TX 75240BD
CRD#: 136941
Dallas, TX
Current
May 5, 2023 - Present
MIZUHO SECURITIES USA LLC
Office #1: 13355 Noel Road Suite 1600, Dallas, TX 75240BD
CRD#: 19647
Dallas, TX
Past
January 13, 2003 - February 26, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 27, 2002 - October 28, 2002
MAPLEWOOD INVESTMENTS, INC.
BD
CRD#: 103723
DALLAS, TX
Past
February 1, 1999 - August 16, 2002
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
January 16, 1998 - January 21, 1998
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
January 16, 1998 - April 27, 1998
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
OVERLAND PARK, KS
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(5/5/2023)
RR
Alaska(5/5/2023)
RR
Arizona(5/5/2023)
RR
Arkansas(5/5/2023)
RR
California(2/6/2014)
RR
Colorado(2/6/2014)
RR
Connecticut(2/6/2014)
RR
Delaware(5/5/2023)
RR
District of Columbia(5/5/2023)
RR
Florida(5/5/2023)
RR
Georgia(5/5/2023)
RR
Hawaii(5/5/2023)
RR
Idaho(5/5/2023)
RR
Illinois(5/5/2023)
RR
Indiana(5/5/2023)
RR
Iowa(5/5/2023)
RR
Kansas(5/5/2023)
RR
Kentucky(5/5/2023)
RR
Louisiana(5/5/2023)
RR
Maine(5/5/2023)
RR
Maryland(5/5/2023)
RR
Massachusetts(4/11/2008)
RR
Michigan(5/5/2023)
RR
Minnesota(5/5/2023)
RR
Mississippi(5/5/2023)
RR
Missouri(5/5/2023)
RR
Montana(5/16/2023)
RR
Nebraska(5/5/2023)
RR
Nevada(5/5/2023)
RR
New Hampshire(5/5/2023)
RR
New Jersey(5/5/2023)
RR
New Mexico(5/5/2023)
RR
New York(2/6/2014)
RR
North Carolina(5/5/2023)
RR
North Dakota(5/5/2023)
RR
Ohio(2/7/2014)
RR
Oklahoma(5/5/2023)
RR
Oregon(5/5/2023)
RR
Pennsylvania(5/5/2023)
RR
Puerto Rico(5/5/2023)
RR
Rhode Island(5/5/2023)
RR
South Carolina(5/5/2023)
RR
South Dakota(5/5/2023)
RR
Tennessee(5/5/2023)
RR
Texas(2/1/2008)
RR
Utah(5/5/2023)
RR
Vermont(5/5/2023)
RR
Virginia(5/5/2023)
RR
Washington(5/5/2023)
RR
West Virginia(5/5/2023)
RR
Wisconsin(5/5/2023)
RR
Wyoming(5/5/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 5/5/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 11/5/2007
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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 | |
| 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
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#: 19647Dallas, TX 75240TRUST BUT VERIFY
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