JB
John J. Baumgartner
MIZUHO SECURITIES USA LLC
NEW YORK, NY 10020
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CRD#: 4199795
JB
Professional summary
John Joseph Baumgartner is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 2000. John has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 87 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 John Joseph Baumgartner'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
April 15, 2021 - Present
MIZUHO SECURITIES USA LLC
Office #1: 1271 Avenue Of The Americas, New York, NY 10020BD
CRD#: 19647
NEW YORK, NY
Past
June 6, 2012 - February 11, 2021
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
New York, NY
Past
February 1, 2010 - March 29, 2011
TELSEY HOLDINGS LLC
RIA
CRD#: 140014
NEW YORK, NY
Past
February 1, 2010 - May 4, 2012
TELSEY ADVISORY GROUP LLC
BD
CRD#: 148234
NEW YORK, NY
Past
September 4, 2007 - November 17, 2009
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
June 6, 2005 - August 27, 2007
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
NEW YORK, NY
Past
April 1, 2004 - May 25, 2005
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
August 5, 2003 - March 23, 2004
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
January 30, 2001 - July 31, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
July 25, 2000 - January 10, 2001
VBC SECURITIES, LLC
BD
CRD#: 5407
CLIFTON, NJ
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(4/15/2021)
RR
Alaska(4/15/2021)
RR
Arizona(4/15/2021)
RR
Arkansas(4/15/2021)
RR
California(4/15/2021)
RR
Colorado(4/15/2021)
RR
Connecticut(4/15/2021)
RR
Delaware(4/15/2021)
RR
District of Columbia(4/15/2021)
RR
Florida(4/15/2021)
RR
Georgia(4/15/2021)
RR
Hawaii(4/15/2021)
RR
Idaho(4/15/2021)
RR
Illinois(4/15/2021)
RR
Indiana(4/15/2021)
RR
Iowa(4/15/2021)
RR
Kansas(4/15/2021)
RR
Kentucky(4/15/2021)
RR
Louisiana(4/15/2021)
RR
Maine(4/15/2021)
RR
Maryland(4/15/2021)
RR
Massachusetts(4/15/2021)
RR
Michigan(4/15/2021)
RR
Minnesota(4/15/2021)
RR
Mississippi(4/15/2021)
RR
Missouri(4/15/2021)
RR
Montana(4/15/2021)
RR
Nebraska(4/15/2021)
RR
Nevada(4/15/2021)
RR
New Hampshire(4/15/2021)
RR
New Jersey(4/15/2021)
RR
New Mexico(4/15/2021)
RR
New York(4/15/2021)
RR
North Carolina(4/15/2021)
RR
North Dakota(4/15/2021)
RR
Ohio(4/15/2021)
RR
Oklahoma(4/15/2021)
RR
Oregon(4/15/2021)
RR
Pennsylvania(4/15/2021)
RR
Puerto Rico(4/15/2021)
RR
Rhode Island(4/15/2021)
RR
South Carolina(4/15/2021)
RR
South Dakota(4/15/2021)
RR
Tennessee(4/15/2021)
RR
Texas(4/15/2021)
RR
Utah(4/15/2021)
RR
Vermont(4/15/2021)
RR
Virginia(4/15/2021)
RR
Washington(4/15/2021)
RR
West Virginia(4/15/2021)
RR
Wisconsin(4/15/2021)
RR
Wyoming(4/15/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
