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Michael Howard Ziegelbaum

Mizuho Securities USA LLC

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About Michael Howard Ziegelbaum

Michael Ziegelbaum is a financial professional with over 30 years of experience in the industry. Michael currently holds a Series 7, Series 3, and SIE licenses and is registered in 52 states. Michael is currently employed by Mizuho Securities USA LLC. In addition to his current role, Michael has previously held positions at RBC Capital Markets Corporation, MarketAxess Corporation, Morgan Stanley & Co., Incorporated, Smith Barney Inc., and CS First Boston Corporation.

Firm Information

Michael Ziegelbaum 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 Ziegelbaum’s Registration & Firm History

NY

07/09/2010 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

09/14/2007 - 04/16/2010

RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)

NY

09/11/2006 - 02/29/2008

RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)

NY

04/12/2001 - 08/10/2006

MARKETAXESS CORPORATION (NEW YORK NY)

NY

03/14/2001 - 06/12/2001

MARKET AXESS INC. (NEW YORK NY)

NY

04/24/1996 - 10/08/1999

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NY

04/24/1996 - 10/08/1999

MORGAN STANLEY MARKET PRODUCTS INC. (NEW YORK NY)

NY

04/24/1995 - 04/15/1996

SMITH BARNEY INC. (NEW YORK NY)

NY

05/06/1991 - 05/02/1995

CS FIRST BOSTON CORPORATION (NEW YORK NY)

NY

04/17/1990 - 05/06/1991

UBS SECURITIES INC. (NEW YORK NY)

NA

12/06/1989 - 03/14/1990

DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.

NA

11/25/1987 - 03/14/1990

DREXEL BURNHAM LAMBERT INCORPORATED

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Licenses & Designations

BC

Issued 11/06/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/25/1987

Series 3 - National Commodity Futures Examination

BC

Issued 11/21/1987

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 Michael Howard Ziegelbaum.
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