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Mark Joseph Morell

Mizuho Securities USA LLC

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About Mark Joseph Morell

Mark Joseph Morell is a financial advisor with over 40 years of experience in the securities industry. Mark is currently registered with Mizuho Securities USA LLC and has been with the firm since 2015. Previously, Mark was registered with Canaccord Genuity Inc., Canaccord Genuity Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Securities Inc., Walsh, Greenwood & Co., and Dean Witter Reynolds Inc. Mark holds a Series 7, Series 9, Series 55, Series 57TO and SIE license.

Firm Information

Mark Morell 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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Mark Morell’s Registration & Firm History

NY

07/21/2015 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

03/26/2012 - 08/13/2015

CANACCORD GENUITY INC. (NEW YORK NY)

NY

03/02/2009 - 09/27/2012

CANACCORD GENUITY SECURITIES LLC (NEW YORK NY)

NY

04/18/1994 - 03/11/2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

03/11/1992 - 03/01/1994

UBS SECURITIES INC. (NEW YORK NY)

NY

05/09/1986 - 03/10/1992

CS FIRST BOSTON CORPORATION (NEW YORK NY)

NA

02/19/1982 - 04/29/1986

WALSH, GREENWOOD & CO.

NA

03/23/1981 - 02/09/1982

DEAN WITTER REYNOLDS INC.

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Licenses & Designations

BC

Issued 07/21/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/11/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/17/2003

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/21/1981

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 Mark Joseph Morell.
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