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Nicholas Patrick Riley

Mizuho Securities USA LLC

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About Nicholas Patrick Riley

Nicholas Riley is a financial professional with over 15 years of experience in the securities industry. Nicholas is currently registered with Mizuho Securities USA LLC and has previously held positions at Credit Suisse Securities (USA) LLC, HSBC Securities (USA) Inc., BGC Financial, L.P., Nomura Securities International, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Securities LLC, and Goldman, Sachs & Co. Nicholas is a Series 63 and Series 7 licensed professional and holds the Securities Industry Essentials (SIE) designation.

Firm Information

Nicholas Riley 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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Nicholas Riley’s Registration & Firm History

NY

08/21/2023 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

09/09/2021 - 09/15/2023

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

04/12/2018 - 10/14/2021

HSBC SECURITIES (USA) INC. (NEW YORK NY)

NY

09/18/2017 - 02/27/2018

BGC FINANCIAL, L.P. (NEW YORK NY)

NY

06/20/2016 - 09/29/2017

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NY

11/01/2010 - 04/13/2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

08/07/2009 - 11/01/2010

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

09/21/2006 - 08/05/2009

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/12/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/20/2006

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 Nicholas Patrick Riley.
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