Nicola Pomponio
Professional Summary
Nicola Pomponio, who also goes by Nick Pomponio Mr., Nick Pomponio, Nicola Pomponio Mr., is a registered financial advisor currently at MIZUHO SECURITIES CANADA INC. located in New York, New York. Nicola is registered as a RR (Registered Representative) and started their career in finance in 2004. Nicola has worked at 4 firms and has passed the Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nick Pomponio Mr., Nick Pomponio, Nicola Pomponio Mr.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
MIZUHO SECURITIES CANADA INC.
Contact Information
Main Address
1271 Avenue Of The Americas Floors - 2,3,4,18,19, New York, NY 10020Mailing Address
1271 Avenue Of The Americas Floors - 2,3,4,18,19, New York, NY 10020Phone Number
(212) 209-9300Firm Type
CorporationFiscal Year End
MarchFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIZUHO SECURITIES USA LLC | DIRECT OWNER | 19647 |
| MARTINO, MICHAEL BENEDICT | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 4420944 |
| POMPONIO, NICOLA | CHIEF COMPLIANCE OFFICER//DIRECTOR | 4835220 |
| RIZZIERI, GERALD ANTHONY | DIRECTOR | 1751181 |
| TRACHSEL, WILLIAM SCOTT | VICE PRESIDENT/OFFICER | 2518542 |
| TUTTLE, MARK ALLEN | CHIEF EXECUTIVE OFFICER | 2581651 |
| WEISMER, JOSHUA STEVEN | VICE PRESIDENT/OFFICER | 3117586 |
| WONG, DAVID T | MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER | 4245078 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nicola Pomponio's CRS (Customer Relationship Summary).
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