linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

John Joseph Baumgartner

Mizuho Securities USA LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you John? Claim Your Profile

About John Joseph Baumgartner

John Joseph Baumgartner is a financial professional with over 20 years of experience in the securities industry. John is currently registered with Mizuho Securities USA LLC, where he began his current role in April of 2021. Prior to joining Mizuho Securities, John was registered with Wells Fargo Securities, LLC, Telsey Advisory Group LLC, Goldman Sachs & Co., Wachovia Capital Markets, LLC, Banc of America Securities LLC, PFS Investments Inc., Morgan Stanley DW Inc. and VBC Securities, LLC. John is licensed to provide financial advice in all states.

Firm Information

John Baumgartner 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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

John Baumgartner’s Registration & Firm History

NY

04/15/2021 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

06/06/2012 - 02/11/2021

WELLS FARGO SECURITIES, LLC (New York NY)

NY

02/01/2010 - 05/04/2012

TELSEY ADVISORY GROUP LLC (NEW YORK NY)

NY

09/04/2007 - 11/17/2009

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

06/06/2005 - 08/27/2007

WACHOVIA CAPITAL MARKETS, LLC (NEW YORK NY)

NY

04/01/2004 - 05/25/2005

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

GA

08/05/2003 - 03/23/2004

PFS INVESTMENTS INC. (DULUTH GA)

NY

01/30/2001 - 07/31/2001

MORGAN STANLEY DW INC. (PURCHASE NY)

NJ

07/25/2000 - 01/10/2001

VBC SECURITIES, LLC (CLIFTON NJ)

Not sure if John Joseph Baumgartner is right for you?

Licenses & Designations

BC

Issued 01/12/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/06/2008

Series 3 - National Commodity Futures Examination

BC

Issued 06/13/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 07/24/2000

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 Joseph Baumgartner.
Not sure if John Joseph Baumgartner is right for you?