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John William Buchanan

Mizuho Securities USA LLC

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About John William Buchanan

John William Buchanan is a financial advisor with over 15 years of experience in the securities industry. John is currently registered with Mizuho Securities USA LLC, where John has been employed since July 2019. Prior to joining Mizuho Securities USA LLC, John worked at Standard Chartered Securities North America LLC, HSBC Securities (USA) INC., and Barclays Capital Inc. John holds a Series 7, Series 24, and Series 63 license, as well as the SIE exam. John is a registered representative in all 50 states and the District of Columbia.

Firm Information

John Buchanan 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 Buchanan’s Registration & Firm History

NY

07/05/2019 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

05/23/2017 - 09/20/2018

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC (NEW YORK NY)

NY

08/15/2012 - 05/24/2017

HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)

NY

09/30/2009 - 09/07/2010

STANDARD CHARTERED SECURITIES (NORTH AMERICA) INC. (NEW YORK NY)

NY

09/20/2004 - 08/12/2009

BARCLAYS CAPITAL INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 01/10/2012

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/10/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/02/2017

Series 24 - General Securities Principal Examination

BC

Issued 09/20/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/17/2004

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 William Buchanan.
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