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Douglas Frederick Sikora

Mizuho Securities USA LLC

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About Douglas Frederick Sikora

Douglas Sikora is a financial advisor with over 22 years of experience in the financial services industry. Douglas is currently registered with Mizuho Securities USA LLC. Prior to joining Mizuho Securities USA LLC, Douglas was employed by HSBC Securities (USA) INC. and UBS WARBURG LLC. Douglas holds the Series 7, Series 63, and SIE licenses. Douglas is registered with the state of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.

Firm Information

Douglas Sikora 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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Douglas Sikora’s Registration & Firm History

NY

11/19/2003 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

01/03/2001 - 11/18/2003

HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)

NY

03/07/2000 - 06/22/2000

UBS WARBURG LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/23/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/06/2000

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 Douglas Frederick Sikora.
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