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SS

Sandeep Sureka

MIZUHO SECURITIES USA
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 5323433
SS

Professional summary

Sandeep Sureka, who also goes by Sandeep Kumar, Sandeep Kumar Sureka, is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in New York, New York.

Sandeep is registered as a RR (Registered Representative) and started their career in finance in 2012. Sandeep has worked at 3 firms and has passed the Series 63, Series 22TO, Series 6TO, Series 82TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sandeep Kumar | Sandeep Kumar Sureka

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 Sandeep Sureka'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

September 27, 2022 - Present

MIZUHO SECURITIES USA LLC

Office #1: 1271 Avenue Of The Americas, New York, NY 10020
BD
CRD#: 19647
NEW YORK, NY
Past

June 25, 2019 - October 11, 2022

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
New York, NY
Past

September 19, 2012 - July 16, 2019

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
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
(9/27/2022)
RR
Alaska
(9/27/2022)
RR
Arizona
(9/27/2022)
RR
Arkansas
(9/27/2022)
RR
California
(9/27/2022)
RR
Colorado
(9/27/2022)
RR
Connecticut
(9/27/2022)
RR
Delaware
(9/27/2022)
RR
District of Columbia
(9/27/2022)
RR
Florida
(9/27/2022)
RR
Georgia
(9/27/2022)
RR
Hawaii
(9/27/2022)
RR
Idaho
(9/27/2022)
RR
Illinois
(9/27/2022)
RR
Indiana
(9/27/2022)
RR
Iowa
(9/27/2022)
RR
Kansas
(9/27/2022)
RR
Kentucky
(9/27/2022)
RR
Louisiana
(9/27/2022)
RR
Maine
(9/27/2022)
RR
Maryland
(9/27/2022)
RR
Massachusetts
(9/27/2022)
RR
Michigan
(9/27/2022)
RR
Minnesota
(9/27/2022)
RR
Mississippi
(9/27/2022)
RR
Missouri
(9/27/2022)
RR
Montana
(9/27/2022)
RR
Nebraska
(9/27/2022)
RR
Nevada
(9/27/2022)
RR
New Hampshire
(9/27/2022)
RR
New Jersey
(9/27/2022)
RR
New Mexico
(9/27/2022)
RR
New York
(9/27/2022)
RR
North Carolina
(9/27/2022)
RR
North Dakota
(9/27/2022)
RR
Ohio
(9/27/2022)
RR
Oklahoma
(9/27/2022)
RR
Oregon
(9/27/2022)
RR
Pennsylvania
(9/27/2022)
RR
Puerto Rico
(9/27/2022)
RR
Rhode Island
(9/27/2022)
RR
South Carolina
(9/27/2022)
RR
South Dakota
(9/27/2022)
RR
Tennessee
(9/27/2022)
RR
Texas
(9/27/2022)
RR
Utah
(9/27/2022)
RR
Vermont
(9/27/2022)
RR
Virginia
(9/27/2022)
RR
Washington
(9/27/2022)
RR
West Virginia
(9/27/2022)
RR
Wisconsin
(9/27/2022)
RR
Wyoming
(9/27/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/1/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/6/2023
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
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)
PREMIUM
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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)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MIZUHO AMERICAS LLCDIRECT OWNER
BUCHANAN, JOHN ROBERTMANAGING DIRECTOR/CHIEF OPERATING OFFICER1765774
BUSQUET, JACQUES JEANDIRECTOR3227628
CALLAN MONTELLA, ERIN MARIEDIRECTOR2938656
CONSIDINE, JILL MARIEDIRECTOR5948267
DALY, BRENDAN GERARDCHIEF COMPLIANCE OFFICER1823142
HARTNETT, THOMAS WALTER TIMOTHYMANAGING DIRECTOR & HEAD OF SALES & TRADING3278880
HERRLE, LOUISE MARYDIRECTOR5868706
HOPKINS, ADAM RICHARDMANAGING DIRECTOR & GENERAL COUNSEL5512590
KATZ, MICHAL NMIMANAGING DIRECTOR & HEAD OF INVESTMENT BANKING2813944
KUROSAWA, TATSUYA NMIDIRECTOR8100550
MARTINO, MICHAEL BENEDICTCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER4420944
MATSUURA, SHUJI NMIDIRECTOR & CHAIRMAN7375457
MURPHY, JOHN MACMANAGING DIRECTOR & HEAD OF FUTURES DIVISION1488471
PASQUILL, DARLENE NMIMANAGING DIRECTOR & HEAD OF EQUITY2505982
RIZZIERI, GERALD ANTHONYPRESIDENT & CHIEF EXECUTIVE OFFICER/DIRECTOR1751181
SHIRAISHI, SHIRO NMIDIRECTOR8100597
SKOLLER, RICHARD MARKSECRETARY6663407
TATE, SEIJI NMIDIRECTOR8077227
WONG, DAVID TAI WAIMANAGING DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER4245078
YONEZAWA, TAKEFUMI NMIDIRECTOR8100586

Disclosures

Regulatory Event15
Civil Event1

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 USA LLC

CRD#: 19647New York, NY 10020

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