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Margaret Ann Ullman

Mizuho Securities USA LLC

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About Margaret Ann Ullman

Margaret Ullman is a Registered Representative with Mizuho Securities USA LLC. Margaret has over 25 years of experience in the financial services industry. She has a broad range of experience in securities and investment banking. Margaret previously worked with CASTLEOAK SECURITIES, LP and ALADDIN CAPITAL LLC. Margaret holds Series 7, 63, SIE, and 79TO licenses.

Firm Information

Margaret Ullman 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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Margaret Ullman’s Registration & Firm History

NY

05/19/2014 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

06/26/2012 - 05/23/2014

CASTLEOAK SECURITIES, LP (NEW YORK NY)

CT

08/06/2009 - 07/23/2010

ALADDIN CAPITAL LLC (STAMFORD CT)

NY

04/30/1993 - 03/28/2008

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/16/1993

Series 63 - Uniform Securities Agent State Law 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 04/29/1993

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 Margaret Ann Ullman.
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