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Rakesh Kirit Kadakia

Mizuho Securities USA LLC

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About Rakesh Kirit Kadakia

Rakesh Kadakia has been in the financial industry since 2001. Rakesh is currently registered with Mizuho Securities USA LLC. Previously, Rakesh was registered with Deutsche Bank Securities Inc., Thomas Weisel Partners LLC, Banc of America Securities LLC, UBS Warburg LLC, SBC Warburg Dillon Read Inc., and SBC Warburg, Inc. Rakesh holds the following FINRA licenses: Series 3, Series 7, Series 24, Series 55, Series 57TO, and the SIE. Rakesh is also registered as an agent in 52 states.

Firm Information

Rakesh Kadakia 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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Rakesh Kadakia’s Registration & Firm History

NY

09/27/2019 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

03/14/2007 - 12/21/2018

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

CA

03/14/2005 - 03/06/2007

THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)

NY

03/26/2004 - 03/24/2005

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

06/29/1998 - 05/24/2000

UBS WARBURG LLC (NEW YORK NY)

CT

09/02/1997 - 06/29/1998

SBC WARBURG DILLON READ INC. (STAMFORD CT)

NY

02/20/1997 - 09/02/1997

SBC WARBURG, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/15/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/16/2005

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 06/01/2004

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/25/2004

Series 7 - General Securities Representative Examination

BC

Issued 03/27/1998

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Rakesh Kirit Kadakia.
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