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Farooq Abbasi

Mizuho Securities USA LLC

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About Farooq Abbasi

Farooq Abbasi is a securities professional registered with the state of New York and FINRA since August 8, 2016. Farooq has been in the industry since September 17, 2008. Farooq is currently employed by Mizuho Securities USA LLC, in New York, NY. Farooq was previously registered with Nomura Securities International, Inc. in New York, NY. Farooq has passed the General Securities Representative Examination (Series 7), the Uniform Securities Agent State Law Examination (Series 63), the Securities Industry Essentials Examination (SIE) and the Investment Banking Registered Representative Examination (Series 79TO).

Firm Information

Farooq Abbasi 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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Farooq Abbasi’s Registration & Firm History

NY

08/08/2016 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

01/03/2011 - 08/11/2016

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NY

01/03/2011 - 04/14/2011

NOMURA SECURITIES NORTH AMERICA, LLC (NEW YORK NY)

IL

08/19/2008 - 12/03/2010

HOULIHAN LOKEY CAPITAL, INC. (CHICAGO IL)

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Licenses & Designations

BC

Issued 08/25/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/05/2021

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/18/2008

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 Farooq Abbasi.
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