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John Alfred Broaddus

Mizuho Securities USA LLC

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About John Alfred Broaddus

John Alfred Broaddus has been in the financial services industry since 2000 and is currently registered with Mizuho Securities USA LLC. John has a broad range of experience, having previously worked at RBC Capital Markets, LLC, Cantor Fitzgerald & Co., Barclays Capital Inc., BANC OF AMERICA SECURITIES LLC, and DEUTSCHE BANK SECURITIES INC. John holds a number of licenses, including Series 7, Series 24, Series 63, and Series 79TO. John is registered with the state securities regulators in all 50 states as well as the District of Columbia and Puerto Rico.

Firm Information

John Broaddus 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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John Broaddus’s Registration & Firm History

NY

03/30/2021 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

06/25/2010 - 12/22/2020

RBC CAPITAL MARKETS, LLC (NEW YORK NY)

NY

10/05/2009 - 05/28/2010

CANTOR FITZGERALD & CO. (NEW YORK NY)

NY

09/05/2006 - 07/14/2009

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

09/29/2003 - 09/06/2006

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

06/13/2002 - 08/06/2003

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

VA

04/21/1994 - 06/13/1997

SCOTT & STRINGFELLOW, INC. (RICHMOND VA)

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Licenses & Designations

BC

Issued 01/23/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/05/2007

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 06/12/2002

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 John Alfred Broaddus.
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