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Arunesh Hari

Mizuho Securities USA LLC

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About Arunesh Hari

Arunesh Hari is a financial advisor who has been in the industry since 2007. Currently, Arunesh is registered with Mizuho Securities USA LLC, where Arunesh has been working since 2017. Arunesh has a long history of experience at firms like Velocity Capital, LLC, Concept Capital Markets, LLC, Citigroup Global Markets Inc., and Morgan Stanley & Co. Incorporated. Arunesh holds several licenses including Series 3, Series 4, Series 7, Series 24, Series 55, Series 57TO, and Series 63. Arunesh has been registered in 52 states.

Firm Information

Arunesh Hari is currently registered with Mizuho Securities USA LLC. Mizuho Securities USA LLC is a Limited Liability Company formed in April 1994 and approved in all 50 states, the District of Columbia, and Puerto Rico. The firm is registered with the SEC and has been subject to 13 Regulatory Events and 1 Civil Event.

Not reported

Assets Under Management

Not reported

Total Clients

535

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Arunesh Hari’s Registration & Firm History

NY

11/28/2017 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

01/26/2017 - 05/21/2018

VELOCITY CAPITAL, LLC (NEW YORK NY)

CT

11/29/2013 - 03/11/2015

CONCEPT CAPITAL MARKETS, LLC (GREENWICH CT)

NY

08/12/2008 - 07/10/2013

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

08/04/2005 - 08/28/2008

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/19/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/08/2005

Series 4 - Registered Options Principal Examination

BC

Issued 08/30/2005

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/25/2013

Series 3 - National Commodity Futures Examination

BC

Issued 09/05/2005

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/03/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Arunesh Hari.
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