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Melanie L Sweeney

Mizuho Securities USA LLC

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About Melanie L Sweeney

Melanie Sweeney is a financial professional with over 2 years of experience in the securities industry. Melanie is currently registered with Mizuho Securities USA LLC in New York, NY. Melanie holds the Series 7, Series 63, Series 99TO, and SIE licenses. Previously, Melanie was registered with INDEPENDENT BROKERAGE SOLUTIONS LLC in New York, NY.

Firm Information

Melanie Sweeney 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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Melanie Sweeney’s Registration & Firm History

NY

03/13/2023 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

04/23/2021 - 06/25/2021

INDEPENDENT BROKERAGE SOLUTIONS LLC (New York NY)

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Licenses & Designations

BC

Issued 05/03/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/22/2024

Series 99TO - Operations Professional Examination

BC

Issued 04/23/2021

Series 7TO - General Securities Representative Examination

BC

Issued 01/23/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Melanie L Sweeney.
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