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Daniel Joseph O'Regan

Mizuho Securities USA LLC

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About Daniel Joseph O'Regan

Daniel O'Regan has been in the financial industry since May 25, 2007. Daniel is currently registered with Mizuho Securities USA LLC. Daniel has previous experience with RBC Capital Markets, LLC, BMO Capital Markets Corp., and RBC Capital Markets Corporation.

Firm Information

Daniel O'Regan 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 O'Regan’s Registration & Firm History

NY

12/05/2022 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

07/08/2019 - 02/23/2022

RBC CAPITAL MARKETS, LLC (NEW YORK NY)

NY

05/27/2015 - 06/15/2019

BMO CAPITAL MARKETS CORP. (NEW YORK NY)

NY

02/29/2008 - 04/15/2015

RBC CAPITAL MARKETS, LLC (NEW YORK NY)

NY

06/13/2006 - 02/29/2008

RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/01/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/26/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/12/2006

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 Daniel Joseph O'Regan.
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