Brian F. Connors
Professional summary
Brian Francis Connors, who also goes by Brian F Connors, Brian Francis Connors, is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Francis Connors's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 14, 2023 - Present
MIZUHO SECURITIES USA LLC
Office #1: 1271 Avenue Of The Americas, New York, NY 10020August 29, 2022 - July 25, 2023
DEUTSCHE BANK SECURITIES INC.
April 4, 2018 - September 1, 2022
CREDIT SUISSE SECURITIES (USA) LLC
January 21, 2016 - April 4, 2018
MORGAN STANLEY & CO. LLC
July 31, 2009 - February 17, 2016
CREDIT SUISSE SECURITIES (USA) LLC
June 29, 2009 - February 17, 2016
CREDIT SUISSE SECURITIES (USA) LLC
August 4, 2008 - July 22, 2009
CITIGROUP GLOBAL MARKETS INC.
May 16, 2006 - July 18, 2008
J.P. MORGAN SECURITIES LLC
April 28, 1999 - May 4, 2006
CITIGROUP GLOBAL MARKETS INC.
August 12, 1998 - February 24, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/14/2023)
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
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.
