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NP

Nicola Pomponio

MIZUHO SECURITIES CANADA
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 4835220
NP

Professional summary

Nicola Pomponio, who also goes by Nick Pomponio Mr., Nick Pomponio, Nicola Pomponio Mr., is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Pomponio Mr. | Nick Pomponio | Nicola Pomponio Mr.

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicola Pomponio'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®
None

Experience

Current

November 14, 2019 - Present

MIZUHO SECURITIES CANADA INC.

Office #1: 1271 Avenue Of The Americas Floors 2,3,4,18,19, New York, NY 10020
BD
CRD#: 300059
NEW YORK, NY
Past

October 24, 2007 - October 8, 2014

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

October 3, 2006 - March 15, 2007

IA SECURITIES (USA) INC.

BD
CRD#: 135721
TORONTO, ONTARIO,
Past

September 28, 2004 - September 25, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 9/27/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/19/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MIZUHO SECURITIES CANADA INC.
MIZUHO SECURITIES CANADA INC.

CRD#: 300059 / SEC#: , 8-70287

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1271 Avenue Of The Americas Floors - 2,3,4,18,19, New York, NY 10020
Mailing Address
1271 Avenue Of The Americas Floors - 2,3,4,18,19, New York, NY 10020
Phone number
(212) 209-9300
Established
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MIZUHO SECURITIES USA LLCDIRECT OWNER19647
MARTINO, MICHAEL BENEDICTCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER4420944
POMPONIO, NICOLACHIEF COMPLIANCE OFFICER//DIRECTOR4835220
RIZZIERI, GERALD ANTHONYDIRECTOR1751181
TRACHSEL, WILLIAM SCOTTVICE PRESIDENT/OFFICER2518542
TUTTLE, MARK ALLENCHIEF EXECUTIVE OFFICER2581651
WEISMER, JOSHUA STEVENVICE PRESIDENT/OFFICER3117586
WONG, DAVID TMANAGING DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER4245078

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.

Company Information

MIZUHO SECURITIES CANADA INC.

CRD#: 300059New York, NY 10020

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