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Michael Francis Maxson

Mizuho Securities USA LLC

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About Michael Francis Maxson

Michael Francis Maxson is a financial advisor who is currently registered with Mizuho Securities USA LLC. Michael has a long history in the financial industry, having worked in various roles at several firms, including SMBC Nikko Securities Canada, LTD., Nomura Securities International, Inc., Deutsche Bank Securities Inc., ABN AMRO Incorporated, SG Cowen Securities Corporation, Barclays Capital Inc., ON-Line Investment Services, Inc. and New World Securities, Inc. Michael holds a Series 7, 62, 63 and 24 license and has been in the industry since 2005.

Firm Information

Michael Maxson 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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Michael Maxson’s Registration & Firm History

NY

08/16/2023 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

05/26/2020 - 10/26/2021

SMBC NIKKO SECURITIES CANADA, LTD. (NEW YORK NY)

NY

02/08/2010 - 11/22/2013

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NY

04/27/2005 - 02/16/2010

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

CT

10/22/2003 - 04/22/2005

ABN AMRO INCORPORATED (STAMFORD CT)

NY

05/15/2001 - 10/31/2003

SG COWEN SECURITIES CORPORATION (NEW YORK NY)

NY

08/24/1998 - 06/01/2001

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

06/23/1997 - 08/07/1998

ON-LINE INVESTMENT SERVICES, INC. (NEW YORK NY)

NY

02/28/1997 - 07/01/1997

NEW WORLD SECURITIES, INC. (GARDEN CITY NY)

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Licenses & Designations

BC

Issued 06/11/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/25/2020

Series 24 - General Securities Principal Examination

BC

Issued 04/13/1999

Series 7 - General Securities Representative Examination

BC

Issued 10/17/1996

Series 62 - Corporate Securities Limited Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Michael Francis Maxson.
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