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Benjamin Noah Schwartz

Mizuho Securities USA LLC

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About Benjamin Noah Schwartz

Benjamin Noah Schwartz is a registered representative with Mizuho Securities USA LLC. Benjamin has been in the industry since 2013. Benjamin is licensed in all 50 states and the District of Columbia. Benjamin previously worked at Credit Suisse Securities (USA) LLC, Raymond James & Associates, Inc., Guggenheim Securities, LLC, and Federated Securities Corp.

Firm Information

Benjamin Schwartz 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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Benjamin Schwartz’s Registration & Firm History

NY

08/14/2023 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

01/19/2022 - 09/11/2023

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

06/27/2019 - 01/28/2022

RAYMOND JAMES & ASSOCIATES, INC. (NEW YORK NY)

NY

02/17/2015 - 06/27/2019

GUGGENHEIM SECURITIES, LLC (NEW YORK NY)

PA

08/01/2013 - 02/20/2015

FEDERATED SECURITIES CORP. (PITTSBURGH PA)

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Licenses & Designations

BOTH

Issued 08/19/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/01/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Benjamin Noah Schwartz.
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