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Matthew Richard Rossi

Mizuho Securities USA LLC

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About Matthew Richard Rossi

Matthew Richard Rossi is an investment banking registered representative with Mizuho Securities USA LLC. Matthew is registered with FINRA and holds Series 79TO, Series 63, and SIE licenses. Matthew is licensed to provide investment advice in 52 states and the District of Columbia.

Firm Information

Matthew Rossi 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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Matthew Rossi’s Registration & Firm History

NY

08/07/2023 - Present

Mizuho Securities USA LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/11/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/07/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 03/12/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Matthew Richard Rossi.
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