SR
Stancel M. Riley
MIZUHO SECURITIES USA LLC
NEW YORK, NY 10020
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CRD#: 3117114
SR
Professional summary
Stancel Martin Riley III, who also goes by Stancel Riley, is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in New York, New York and GREENHILL & CO., LLC located in New York, New York.
Stancel is registered as a RR (Registered Representative) and started their career in finance in 1999. Stancel has worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stancel Riley
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 Stancel Martin Riley III'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
January 28, 2019 - Present
MIZUHO SECURITIES USA LLC
Office #1: 1271 Avenue Of The Americas, New York, NY 10020BD
CRD#: 19647
NEW YORK, NY
Current
March 27, 2024 - Present
GREENHILL & CO., LLC
Office #1: 1271 Avenue Of The Americas, New York, NY 10020BD
CRD#: 40290
NEW YORK, NY
Past
June 7, 2004 - December 11, 2018
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
NEW YORK, NY
Past
August 26, 1999 - June 4, 2004
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
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(1/28/2019)
RR
Alaska(1/28/2019)
RR
Arizona(1/28/2019)
RR
Arkansas(1/28/2019)
RR
California(1/28/2019)
RR
Colorado(1/28/2019)
RR
Connecticut(1/28/2019)
RR
Delaware(1/28/2019)
RR
District of Columbia(1/28/2019)
RR
Florida(1/28/2019)
RR
Georgia(1/28/2019)
RR
Hawaii(1/28/2019)
RR
Idaho(1/28/2019)
RR
Illinois(1/28/2019)
RR
Indiana(1/28/2019)
RR
Iowa(1/28/2019)
RR
Kansas(1/28/2019)
RR
Kentucky(1/28/2019)
RR
Louisiana(1/28/2019)
RR
Maine(1/28/2019)
RR
Maryland(1/28/2019)
RR
Massachusetts(1/28/2019)
RR
Michigan(1/28/2019)
RR
Minnesota(1/28/2019)
RR
Mississippi(1/28/2019)
RR
Missouri(1/28/2019)
RR
Montana(1/28/2019)
RR
Nebraska(1/28/2019)
RR
Nevada(1/28/2019)
RR
New Hampshire(1/28/2019)
RR
New Jersey(1/28/2019)
RR
New Mexico(1/28/2019)
RR
New York(1/28/2019)
RR
North Carolina(1/28/2019)
RR
North Dakota(1/28/2019)
RR
Ohio(1/28/2019)
RR
Oklahoma(1/28/2019)
RR
Oregon(1/28/2019)
RR
Pennsylvania(1/28/2019)
RR
Puerto Rico(1/28/2019)
RR
Rhode Island(1/28/2019)
RR
South Carolina(1/28/2019)
RR
South Dakota(1/28/2019)
RR
Tennessee(1/28/2019)
RR
Texas(1/28/2019)
RR
Utah(1/28/2019)
RR
Vermont(1/28/2019)
RR
Virginia(1/28/2019)
RR
Washington(1/28/2019)
RR
West Virginia(1/28/2019)
RR
Wisconsin(1/28/2019)
RR
Wyoming(1/28/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
G&
GREENHILL & CO., LLC
GREENHILL & CO., LLC
CRD#: 40290 / SEC#: , 8-49000
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) 389-1500
Established
New York since 01/19/1996
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENHILL & CO., INC. | OWNER | |
| DALY, BRENDAN GERARD | CHIEF COMPLIANCE OFFICER | 1823142 |
| FALEIRO, GITANJALI PINTO | GENERAL COUNSEL | 4250865 |
| KATZ, MICHAL | MANGING DIRECTOR - HEAD OF INVESTMENT BANKING | 2813944 |
| LASKY, MARK RICHARD | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6005542 |
| MIZUHO SECURITIES USA LLC | MANAGER | 19647 |
| RIZZIERI, GERALD ANTHONY | CHIEF EXECUTIVE OFFICER | 1751181 |
Disclosures
| Regulatory 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.
