Jing Wen
Professional summary
Jing Wen, who also goes by Aria Wen, is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in New York, New York.
Jing is registered as a RR (Registered Representative) and started their career in finance in 2017. Jing has worked at 11 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jing Wen's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 26, 2022 - Present
MIZUHO SECURITIES USA LLC
Office #1: 1271 Avenue Of The Americas, New York, NY 10020April 1, 2022 - September 16, 2022
NEWMARK SECURITIES, LLC
May 8, 2018 - May 27, 2020
CFWP SECURITIES, LLC
May 8, 2018 - July 1, 2021
SUNRISE BROKERS LLC
May 8, 2018 - September 16, 2022
MINT BROKERS
May 8, 2018 - September 16, 2022
GFI SECURITIES LLC
May 8, 2018 - September 16, 2022
FMX EXECUTION, LLC
May 8, 2018 - September 16, 2022
CF SECURED, LLC
May 8, 2018 - September 16, 2022
BGC FINANCIAL, L.P.
May 8, 2018 - September 16, 2022
AQUA SECURITIES L.P.
October 14, 2017 - September 16, 2022
CANTOR FITZGERALD & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
MIZUHO SECURITIES USA LLC
CRD#: 19647 / SEC#: , 8-37710
Contact information
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.
