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Catherine Francesca Rand

Mizuho Securities USA LLC

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About Catherine Francesca Rand

Catherine Francesca Rand is a registered representative with Mizuho Securities USA LLC. Catherine holds the Series 99TO and the SIE exams and has been active in the industry since May 7, 2019.

Firm Information

Catherine Rand 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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Catherine Rand’s Registration & Firm History

NJ

05/07/2019 - Present

Mizuho Securities USA LLC (ISELIN NJ)

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Licenses & Designations

BC

Issued 05/06/2019

Series 99TO - Operations Professional Examination

BC

Issued 03/08/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Catherine Francesca Rand.
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