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Douglas Mullen

Mizuho Securities USA LLC

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About Douglas Mullen

Douglas Mullen is a financial professional registered with FINRA and is currently employed by Mizuho Securities USA LLC. Douglas has a background in operations and has passed the Series 99TO and SIE exams. Douglas is based in New York, NY and has been in the industry since March 14, 2024.

Firm Information

Douglas Mullen 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 Mullen’s Registration & Firm History

NY

03/15/2024 - Present

Mizuho Securities USA LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/15/2024

Series 99TO - Operations Professional Examination

BC

Issued 10/28/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Douglas Mullen.
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