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Brian Earle Smith

Mizuho Securities USA LLC

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About Brian Earle Smith

Brian Earle Smith is a financial professional with over 20 years of experience in the industry. Brian has held positions at several reputable firms, including Morgan Stanley & Co., Incorporated, Jefferies & Company, Inc., Citigroup Global Markets Inc., CRT Capital Group LLC, and currently at Mizuho Securities USA LLC. Brian holds a variety of licenses and certifications, including Series 3, 7, 24, 55, 57TO, and SIE. Brian is registered in all 50 states and the District of Columbia.

Firm Information

Brian Smith 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 Smith’s Registration & Firm History

NY

07/06/2016 - Present

Mizuho Securities USA LLC (NEW YORK NY)

CT

09/20/2013 - 06/09/2016

CRT CAPITAL GROUP LLC (STAMFORD CT)

NY

07/12/2010 - 10/03/2013

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

08/13/2007 - 06/11/2010

JEFFERIES & COMPANY, INC. (NEW YORK NY)

NY

07/28/1999 - 08/13/2007

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/06/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/03/2008

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 10/21/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/11/1999

Series 3 - National Commodity Futures Examination

BC

Issued 09/30/1995

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 Brian Earle Smith.
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