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Farzin Azarm

Mizuho Securities USA LLC

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About Farzin Azarm

Farzin Azarm is a securities professional with over 28 years of experience in the financial services industry. Currently, Farzin Azarm is registered with Mizuho Securities USA LLC, and previously worked at Credit Suisse Securities (USA) LLC, Donaldson, Lufkin & Jenrette Securities Corporation, Santander Investment Securities Inc., UBS Securities LLC, and James Capel Incorporated.

Firm Information

Farzin Azarm 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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Farzin Azarm’s Registration & Firm History

NY

10/19/2021 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

10/10/2000 - 11/05/2021

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NJ

02/04/1999 - 10/10/2000

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

NY

06/12/1998 - 10/28/1998

SANTANDER INVESTMENT SECURITIES INC. (NEW YORK NY)

NY

11/21/1996 - 04/27/1998

UBS SECURITIES LLC (NEW YORK NY)

NY

01/01/1996 - 07/22/1996

HSBC SECURITIES, INC. (NEW YORK CITY NY)

NA

12/17/1993 - 01/01/1996

JAMES CAPEL INCORPORATED

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Licenses & Designations

BC

Issued 04/04/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/07/2016

Series 24 - General Securities Principal Examination

BC

Issued 11/04/2008

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 05/01/2008

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/17/2016

Series 57 - Securities Trader Exam

BC

Issued 05/15/2007

Series 3 - National Commodity Futures Examination

BC

Issued 12/16/1993

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 Farzin Azarm.
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