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Carmine Cletus Ricciardi

Mizuho Securities USA LLC

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About Carmine Cletus Ricciardi

Carmine Ricciardi is a financial professional with over 30 years of experience in the industry. Currently, Carmine is registered with Mizuho Securities USA LLC. Previously, Carmine has worked with firms such as Tullett Prebon Financial Services LLC, Tullett Liberty Brokerage Inc., Commerzbank Capital Markets Corp., Barclays Capital Inc. and Bear, Stearns & Co. Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Carmine holds Series 3, 7, 63, 99TO and SIE licenses. Carmine is registered with the state of New York.

Firm Information

Carmine Ricciardi 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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Carmine Ricciardi’s Registration & Firm History

NY

08/16/2011 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NJ

08/25/2008 - 08/09/2011

TULLETT PREBON FINANCIAL SERVICES LLC (JERSEY CITY NJ)

NY

08/16/2006 - 10/09/2008

TULLETT LIBERTY BROKERAGE INC. (NEW YORK NY)

NY

09/13/2004 - 04/01/2005

COMMERZBANK CAPITAL MARKETS CORP. (NEW YORK NY)

NY

06/17/1996 - 08/01/2003

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

01/06/1995 - 06/18/1996

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

10/19/1988 - 11/22/1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/29/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/31/1988

Series 3 - National Commodity Futures Examination

BC

Issued 10/15/1988

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 Carmine Cletus Ricciardi.
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