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Edgardo De azevedo soares

Mizuho Securities USA LLC

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About Edgardo De azevedo soares

Edgardo De azevedo soares is a financial professional with over 20 years of experience in the securities industry. Edgardo is currently registered with Mizuho Securities USA LLC in New York, NY. Prior to joining Mizuho, Edgardo was a registered representative with Scotia Capital (USA) Inc. and First New York Securities L.L.C. Edgardo holds FINRA Series 7, 55, 57TO, and SIE licenses as well as a Series 63 license.

Firm Information

Edgardo De azevedo soares 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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Edgardo De azevedo soares’s Registration & Firm History

NY

01/04/2024 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

09/29/2011 - 11/08/2023

SCOTIA CAPITAL (USA) INC. (NEW YORK NY)

NY

06/28/2010 - 05/19/2011

FIRST NEW YORK SECURITIES L.L.C. (NEW YORK NY)

NY

05/07/2009 - 03/15/2010

FIRST NEW YORK SECURITIES L.L.C. (NEW YORK NY)

NY

05/16/2001 - 03/02/2007

FIRST NEW YORK SECURITIES L.L.C. (NEW YORK NY)

NY

07/13/1998 - 05/23/2001

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

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Licenses & Designations

BC

Issued 10/10/2011

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 06/24/2009

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 05/06/2009

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 Edgardo De azevedo soares.
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