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Paul Joseph Fung

Mizuho Securities USA LLC

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About Paul Joseph Fung

Paul Joseph Fung has been working in the financial services industry for over 20 years. Paul currently holds registrations with FINRA and the state of New York. Paul has a broad range of experience and has worked at a number of firms, including Liquidnet, Inc., NYFIX Securities Corporation, and J&D Securities LLC. Paul holds the Series 7, Series 24, Series 55, Series 57TO, and SIE licenses, as well as the Uniform Securities Agent State Law Examination (Series 63). Currently, Paul is registered with Mizuho Securities USA LLC in New York, New York.

Firm Information

Paul Fung 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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Paul Fung’s Registration & Firm History

NY

06/18/2021 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

08/20/2008 - 06/11/2021

LIQUIDNET, INC. (NEW YORK NY)

NJ

10/01/2007 - 07/15/2008

NYFIX SECURITIES CORPORATION (HAZLET NJ)

NY

03/12/2007 - 10/01/2007

NYFIX TRANSACTION SERVICES, INC. (NEW YORK NY)

NY

02/03/2006 - 08/18/2006

J & D SECURITIES LLC (NEW YORK NY)

PR

08/09/2006 - 08/16/2006

CONSULTIVA SECURITIES, INC. (GUAYNABO PR)

IL

07/28/2005 - 11/04/2005

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

NY

06/19/2001 - 04/12/2005

HORNBLOWER FISCHER & CO. (NEW YORK NY)

NE

04/02/2001 - 06/15/2001

TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)

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Licenses & Designations

BC

Issued 04/10/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/01/2021

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/17/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/30/2001

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 Paul Joseph Fung.
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