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David Neil Moore

Mizuho Securities USA LLC

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About David Neil Moore

David Moore is a securities professional with over 27 years of experience in the industry. David is currently registered with Mizuho Securities USA LLC, where David has been employed since August 2022. Prior to Mizuho Securities USA LLC, David was employed by BNP PARIBAS SECURITIES CORP., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley & Co. LLC. David is licensed to conduct business in all 50 states.

Firm Information

David Moore 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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David Moore’s Registration & Firm History

NY

08/19/2022 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

08/05/2016 - 04/04/2022

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

NY

08/25/2011 - 10/06/2014

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

NY

05/17/1994 - 08/09/2011

MORGAN STANLEY & CO. LLC (NEW YORK NY)

NY

11/09/1999 - 10/30/2008

MORGAN STANLEY MARKET PRODUCTS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/19/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/14/2007

Series 53 - Municipal Securities Principal Examination

BC

Issued 03/07/2001

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 72 - Government Securities Representative Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/24/1994

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 David Neil Moore.
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