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FIRM PROFILE
Overview
MIZUHO SECURITIES USA LLC is located at 1271 Avenue Of The Americas, New York, NY 10020 and was first established at New York, Delaware in 04/08/1994. After operating for 32 years, MIZUHO SECURITIES USA LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of MIZUHO SECURITIES USA LLC’s clients are individuals and 0% of their clients are high net worth individuals. MIZUHO SECURITIES USA LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at MIZUHO SECURITIES USA LLC are registered to handle securities or provide financial advice. The firm has 16 disclosures, 15 being regulatory events, 1 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access MIZUHO SECURITIES USA LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at MIZUHO SECURITIES USA LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for MIZUHO SECURITIES USA LLC Comes From
Understanding the Statistics for MIZUHO SECURITIES USA LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
1271 Avenue Of The Americas, New York, NY 10020
1271 Avenue Of The Americas, New York, NY 10020
Large
(212) 209-9300
Delaware since 04/08/1994
Limited Liability Company
March
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at MIZUHO SECURITIES USA LLC
John Anthony Andretta
James Michael Wohlbruck
Richard Michael Steinman
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