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Crystal Elizabeth Pennington

Mizuho Securities USA LLC

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About Crystal Elizabeth Pennington

Crystal Elizabeth Pennington is a financial professional with over 14 years of experience in the industry. Crystal has worked at Mizuho Securities USA LLC since 4/1/2022. Previously, Crystal has held positions at firms like SG Americas Securities, LLC, Newedge USA, LLC and Keystone Capital Corporation. Crystal holds several licenses and certifications, including Series 3, 4, 7, 24, 27, 55, 63, 99TO, and SIE.

Firm Information

Crystal Pennington 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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Crystal Pennington’s Registration & Firm History

NY

04/01/2022 - Present

Mizuho Securities USA LLC (NEW YORK NY)

IL

01/02/2015 - 09/15/2016

SG AMERICAS SECURITIES, LLC (CHICAGO IL)

IL

01/03/2008 - 01/02/2015

NEWEDGE USA, LLC (CHICAGO IL)

IL

04/13/2006 - 09/01/2008

NEWEDGE FINANCIAL INC. (CHICAGO IL)

NY

02/20/2006 - 04/12/2006

KEYSTONE CAPITAL CORPORATION (NEW YORK NY)

NY

05/27/2004 - 01/06/2005

KEYSTONE CAPITAL CORPORATION (NEW YORK NY)

IL

01/02/2003 - 04/14/2003

CITADEL TRADING GROUP L.L.C. (CHICAGO IL)

NY

09/24/2002 - 12/31/2002

KEYSTONE CAPITAL CORPORATION (NEW YORK NY)

CA

07/03/2000 - 04/19/2002

CALIFORNIA NETWORK CAPITAL, INC. (DEL MAR CA)

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Licenses & Designations

BC

Issued 07/29/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/22/2008

Series 4 - Registered Options Principal Examination

BC

Issued 08/04/2001

Series 27 - Financial and Operations Principal Examination

BC

Issued 03/15/2001

Series 24 - General Securities Principal Examination

BC

Issued 04/01/2022

Series 99TO - Operations Professional Examination

BC

Issued 02/08/2022

SIE - Securities Industry Essentials Examination

BC

Issued 05/18/2010

Series 3 - National Commodity Futures Examination

BC

Issued 02/01/2001

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 07/01/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Crystal Elizabeth Pennington.
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