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Lebaron Sands Willard

Mizuho Securities USA LLC

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About Lebaron Sands Willard

Lebaron Sands Willard has been active in the securities industry since August 26, 2000. Lebaron currently holds a Series 7, Series 55, Series 63, Series 57TO and SIE licenses. Lebaron has a background in various financial institutions including Wells Fargo Securities, RBC Capital Markets, RBC Capital Markets Corporation, Morgan Stanley and Wachovia Securities. Lebaron is currently registered with Mizuho Securities USA LLC and is registered in 52 states.

Firm Information

Lebaron Willard 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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Lebaron Willard’s Registration & Firm History

NY

11/26/2019 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

08/09/2011 - 09/27/2019

WELLS FARGO SECURITIES, LLC (NEW YORK NY)

NY

02/29/2008 - 07/01/2011

RBC CAPITAL MARKETS, LLC (NEW YORK NY)

NY

06/28/2007 - 02/29/2008

RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)

NY

08/22/2005 - 06/25/2007

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NC

07/01/2003 - 07/28/2005

WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)

MO

04/26/2000 - 07/01/2003

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

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Licenses & Designations

BC

Issued 09/03/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/25/2001

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/13/2000

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 are no public disclosures for Lebaron Sands Willard.
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