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Ravi Vaidya

Mizuho Securities USA LLC

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About Ravi Vaidya

Ravi Vaidya is a financial professional with over 5 years of experience in the industry. Ravi currently works at Mizuho Securities USA LLC. Prior to this, Ravi worked at Wells Fargo Securities, LLC and KeyBanc Capital Markets Inc. Ravi is licensed to provide investment advice in all 50 states and the District of Columbia. Ravi has a strong understanding of investment products and services.

Firm Information

Ravi Vaidya 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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Ravi Vaidya’s Registration & Firm History

NY

07/12/2022 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

01/06/2022 - 07/05/2022

WELLS FARGO SECURITIES, LLC (New York NY)

NY

04/09/2019 - 12/17/2021

KEYBANC CAPITAL MARKETS INC. (New York NY)

NY

08/03/2015 - 03/28/2016

SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/18/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 01/02/2023

Series 82TO - Limited Representative-Private Securities Offerings

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 22TO - Direct Participation Programs Representative Examination

BC

Issued 04/18/2019

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 04/09/2019

Series 7TO - General Securities Representative Examination

BC

Issued 03/28/2016

SIE - Securities Industry Essentials Examination

BC

Issued 08/03/2015

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 Ravi Vaidya.
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