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Gregory Prime

Mizuho Securities USA LLC

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About Gregory Prime

Gregory Prime is a securities professional with over 30 years of experience in the financial industry. Gregory is currently registered with Mizuho Securities USA LLC. Previously, Gregory was a registered representative with Berenberg Capital Markets LLC, Wells Fargo Securities, LLC, J.P. Morgan Securities LLC, J.P. Morgan Securities Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., UBS Warburg LLC, Paine Webber Incorporated, Hambbrecht & Quist LLC and Blackford Securities Corp. Gregory holds a variety of licenses and designations, including Series 3, 7, 24, 55, 57TO, 63 and 99TO.

Firm Information

Gregory Prime 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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Gregory Prime’s Registration & Firm History

NY

01/10/2024 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

01/20/2023 - 01/12/2024

BERENBERG CAPITAL MARKETS LLC (NEW YORK NY)

NY

07/19/2016 - 06/17/2022

WELLS FARGO SECURITIES, LLC (New York NY)

NY

10/01/2008 - 07/15/2016

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

07/31/2006 - 10/01/2008

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

02/18/2004 - 08/10/2006

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

03/19/2001 - 02/18/2004

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

12/04/2000 - 03/19/2001

UBS WARBURG LLC (NEW YORK NY)

NJ

05/12/1998 - 12/04/2000

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

CA

01/02/1992 - 04/24/1998

HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)

NY

03/03/1989 - 01/07/1992

BLACKFORD SECURITIES CORP. (GARDEN CITY NY)

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Licenses & Designations

BC

Issued 09/25/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/10/2012

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/14/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 01/23/1991

Series 3 - National Commodity Futures Examination

BC

Issued 01/21/1989

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 is public disclosure for Gregory Prime. Review regulatory record here.
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