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Luke Leopold Lawrence

Mizuho Securities USA LLC

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About Luke Leopold Lawrence

Luke Leopold Lawrence is a financial professional with over 20 years of experience in the industry. Luke is currently registered with Mizuho Securities USA LLC, a firm that specializes in investment banking and securities trading. Prior to his current role, Luke was employed by several prominent firms including Stifel, Nicolaus & Company, Incorporated, Guggenheim Securities, LLC, Lazard Capital Markets LLC, and The Princeridge Group LLC. Luke holds the Series 7, Series 55, Series 63, and SIE licenses.

Firm Information

Luke Lawrence 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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Luke Lawrence’s Registration & Firm History

NY

10/02/2018 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

10/19/2017 - 09/20/2018

STIFEL, NICOLAUS & COMPANY, INCORPORATED (NEW YORK NY)

NY

04/21/2014 - 08/10/2017

GUGGENHEIM SECURITIES, LLC (NEW YORK NY)

NY

08/02/2012 - 03/18/2014

LAZARD CAPITAL MARKETS LLC (NEW YORK NY)

NY

01/25/2010 - 07/16/2012

THE PRINCERIDGE GROUP LLC (NEW YORK NY)

NY

06/05/2008 - 01/28/2010

PALI CAPITAL, INC. (NEW YORK NY)

NY

10/02/2006 - 03/28/2008

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

NY

10/02/2006 - 03/28/2008

MORGAN STANLEY MARKET PRODUCTS INC. (NEW YORK NY)

NY

02/28/2006 - 07/31/2006

UBS SECURITIES LLC (NEW YORK NY)

NY

06/27/2001 - 02/21/2006

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/20/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 09/20/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/11/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/26/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Luke Leopold Lawrence. Review regulatory record here.
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