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Moshe Nathan Tomkiewicz

Mizuho Securities USA LLC

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About Moshe Nathan Tomkiewicz

Moshe Tomkiewicz is a financial advisor who has been active in the industry since 1996. Moshe is currently registered with Mizuho Securities USA LLC and is located in New York, NY. Moshe has a broad range of experience in the industry, having worked at several firms prior to joining Mizuho Securities USA LLC. Moshe has extensive experience in Investment Banking, Municipal Securities, and the General Securities industry.

Firm Information

Moshe Tomkiewicz 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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Moshe Tomkiewicz’s Registration & Firm History

NY

04/08/2015 - Present

Mizuho Securities USA LLC (NEW YORK NY)

CT

05/18/2004 - 04/10/2015

RBS SECURITIES INC. (GREENWICH CT)

NY

09/24/1999 - 05/14/2004

CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)

NY

05/03/1999 - 07/14/1999

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

09/24/1996 - 04/28/1999

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/22/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/24/2014

Series 24 - General Securities Principal Examination

BC

Issued 03/14/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/09/1996

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 Moshe Nathan Tomkiewicz.
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