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Kate Marie Lynott

Mizuho Securities USA LLC

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About Kate Marie Lynott

Kate Marie Lynott is a registered representative with Mizuho Securities USA LLC. Kate has been in the financial industry for over 13 years. Kate is licensed to provide investment advice and securities transactions in New York. Kate is also a registered principal with Series 24 and holds Series 7, 63, 66, 79TO and SIE licenses. Prior to joining Mizuho Securities USA LLC, Kate held positions at E*TRADE SECURITIES LLC, G.RESEARCH, INC., INDEPENDENT FINANCIAL GROUP, LLC, LPL FINANCIAL LLC and ITG INC.

Firm Information

Kate Lynott 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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Kate Lynott’s Registration & Firm History

NY

11/21/2022 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

04/21/2014 - 11/18/2022

E*TRADE SECURITIES LLC (Purchase NY)

CT

08/21/2013 - 05/15/2014

G.RESEARCH, INC. (GREENWICH CT)

CA

04/18/2011 - 07/25/2013

INDEPENDENT FINANCIAL GROUP, LLC (SAN DIEGO CA)

CA

12/10/2009 - 04/27/2011

LPL FINANCIAL LLC (SAN DIEGO CA)

NY

02/18/2008 - 10/22/2008

ITG INC. (RYE BROOK NY)

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Licenses & Designations

BOTH

Issued 11/11/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/21/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/04/2010

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 02/15/2008

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 Kate Marie Lynott.
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