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Deven Dineshkumar Shah

Mizuho Securities USA LLC

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About Deven Dineshkumar Shah

Deven Dineshkumar Shah is a financial professional registered in 52 states and has been in the industry since July 29, 2011. Deven is currently employed by Mizuho Securities USA LLC and is registered with FINRA as a general securities principal. Deven is also registered with the state of Alabama as a broker-dealer. Previous experience includes working as a registered representative for Barclays Capital Inc., Citigroup Global Markets Inc., J.P. Morgan Securities Inc., Stifel, Nicolaus & Company, Incorporated, and Johnson Research & Capital Incorporated. Deven holds Series 7, 79, 63 and 24 licenses.

Firm Information

Deven Shah 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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Deven Shah’s Registration & Firm History

NY

02/17/2016 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

01/07/2014 - 04/14/2014

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

09/01/2010 - 03/21/2013

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

07/12/2000 - 05/31/2001

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

MO

10/06/1999 - 08/02/2000

STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)

MO

08/31/1999 - 09/27/1999

JOHNSON RESEARCH & CAPITAL INCORPORATED (ST. LOUIS MO)

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Licenses & Designations

BC

Issued 06/21/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/22/2022

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/31/2010

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 08/30/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Deven Dineshkumar Shah.
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