VR
Vijay R. Rakesh
MIZUHO SECURITIES USA LLC
Chicago, IL 60606-1787
Some features on this profile are disabled
CRD#: 4424000
VR
Professional summary
Vijay Raghavan Rakesh is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in Chicago, Illinois.
Vijay is registered as a RR (Registered Representative) and started their career in finance in 2003. Vijay has worked at 8 firms and has passed the Series 63, SIE, Series 87, Series 86 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 Vijay Raghavan Rakesh'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 21, 2015 - Present
MIZUHO SECURITIES USA LLC
Office #1: 155 North Wacker Drive Suite 2800, Chicago, IL 60606-1787BD
CRD#: 19647
Chicago, IL
Past
April 8, 2010 - March 19, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
CHICAGO, IL
Past
April 23, 2008 - April 5, 2010
THINKEQUITY LLC
BD
CRD#: 44274
CHICAGO, IL
Past
August 3, 2005 - March 17, 2008
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
May 27, 2004 - July 27, 2005
NEXT GENERATION EQUITY RESEARCH LLC
BD
CRD#: 130754
CHICAGO, IL
Past
March 15, 2004 - May 26, 2004
KWS ASSOCIATES, INC.
BD
CRD#: 28264
CHICAGO, IL
Past
April 1, 2003 - March 8, 2004
BEREAN CAPITAL INCORPORATED
BD
CRD#: 24915
CHICAGO, IL
Past
January 10, 2003 - March 20, 2003
INVESTEC INC.
BD
CRD#: 18553
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(4/21/2015)
RR
Alaska(4/21/2015)
RR
Arizona(4/21/2015)
RR
Arkansas(4/21/2015)
RR
California(4/21/2015)
RR
Colorado(4/21/2015)
RR
Connecticut(4/21/2015)
RR
Delaware(4/21/2015)
RR
District of Columbia(4/21/2015)
RR
Florida(4/21/2015)
RR
Georgia(4/21/2015)
RR
Hawaii(4/21/2015)
RR
Idaho(4/21/2015)
RR
Illinois(4/21/2015)
RR
Indiana(4/21/2015)
RR
Iowa(4/21/2015)
RR
Kansas(4/21/2015)
RR
Kentucky(4/21/2015)
RR
Louisiana(4/21/2015)
RR
Maine(4/21/2015)
RR
Maryland(4/21/2015)
RR
Massachusetts(4/21/2015)
RR
Michigan(4/21/2015)
RR
Minnesota(4/21/2015)
RR
Mississippi(4/21/2015)
RR
Missouri(4/21/2015)
RR
Montana(4/21/2015)
RR
Nebraska(4/21/2015)
RR
Nevada(4/21/2015)
RR
New Hampshire(4/21/2015)
RR
New Jersey(4/21/2015)
RR
New Mexico(4/21/2015)
RR
New York(4/21/2015)
RR
North Carolina(4/21/2015)
RR
North Dakota(4/21/2015)
RR
Ohio(4/21/2015)
RR
Oklahoma(4/21/2015)
RR
Oregon(4/21/2015)
RR
Pennsylvania(4/21/2015)
RR
Puerto Rico(4/21/2015)
RR
Rhode Island(4/21/2015)
RR
South Carolina(4/21/2015)
RR
South Dakota(4/21/2015)
RR
Tennessee(4/21/2015)
RR
Texas(4/21/2015)
RR
Utah(4/21/2015)
RR
Vermont(4/21/2015)
RR
Virginia(4/21/2015)
RR
Washington(4/21/2015)
RR
West Virginia(4/21/2015)
RR
Wisconsin(4/21/2015)
RR
Wyoming(4/21/2015)
Exams
State Security Law Exam
General 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
