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Brian Defee

Mizuho Securities USA LLC

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About Brian Defee

Brian Defee is a financial advisor with over 13 years of experience in the industry. Brian is currently registered with Mizuho Securities USA LLC and CSP Securities, LP. He is a Series 7, 6, 63, 66, 79, and SIE licensed professional. Brian has previously held positions at CSP Securities, LP, Commerce Street Capital, LLC, J.P. Morgan Securities Inc., and Copeland Equities, Inc. Brian has experience in the financial services industry and is dedicated to providing his clients with comprehensive financial planning and investment management services.

Firm Information

Brian Defee 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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Brian Defee’s Registration & Firm History

TX

07/14/2023 - Present

Mizuho Securities USA LLC (Dallas TX)

TX

07/24/2012 - 07/14/2020

CSP SECURITIES, LP (DALLAS TX)

TX

07/30/2009 - 05/20/2011

COMMERCE STREET CAPITAL, LLC (DALLAS TX)

NY

02/22/2000 - 07/11/2002

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

02/02/2001 - 05/01/2001

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NJ

07/14/1999 - 02/11/2000

COPELAND EQUITIES, INC. (SOMERSET NJ)

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Licenses & Designations

BC

Issued 04/29/2023

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 06/07/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/14/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/29/2009

Series 7 - General Securities Representative Examination

BC

Issued 05/25/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Brian Defee.
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