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Daniel Joseph Brereton

Mizuho Securities USA LLC

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About Daniel Joseph Brereton

Daniel Brereton is a financial professional with over 30 years of experience in the securities industry. Daniel has been registered with Mizuho Securities USA LLC since January 2012. Previously, Daniel has been registered with MF GLOBAL INC., SEA PORT GROUP SECURITIES, LLC, UBS SECURITIES LLC, BNP PARIBAS SECURITIES CORP., and PRUDENTIAL SECURITIES INCORPORATED. Daniel holds Series 7, Series 24, Series 55, Series 57TO, and Series 63 licenses and is registered in New York.

Firm Information

Daniel Brereton 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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Daniel Brereton’s Registration & Firm History

NY

01/04/2012 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

06/22/2011 - 12/05/2011

MF GLOBAL INC. (NEW YORK NY)

NY

07/14/2010 - 06/09/2011

SEA PORT GROUP SECURITIES, LLC (MONTAUK NY)

NY

08/03/2009 - 06/01/2010

UBS SECURITIES LLC (NEW YORK NY)

NY

07/08/2005 - 05/12/2009

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

NY

06/28/1994 - 07/01/2005

UBS SECURITIES LLC (NEW YORK NY)

NY

10/25/1989 - 07/15/1994

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/24/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/16/2005

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 02/27/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/21/1989

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 Daniel Joseph Brereton.
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