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Raymond H Han

Mizuho Securities USA LLC

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About Raymond H Han

Raymond Han is a financial professional with over 13 years of experience in the securities industry. Raymond currently works at Mizuho Securities USA LLC, where they have been employed since March 2022. Previously, Raymond worked at JMP Securities LLC, Wells Fargo Securities, LLC and Wedbush Securities Inc. Raymond holds the Series 7, Series 24, Series 63, Series 79 and SIE licenses. They are also registered in 52 states and the District of Columbia. Raymond is dedicated to providing clients with personalized financial advice and guidance.

Firm Information

Raymond Han 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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Raymond Han’s Registration & Firm History

CA

03/29/2022 - Present

Mizuho Securities USA LLC (SAN FRANCISCO CA)

CA

11/16/2018 - 02/28/2022

JMP SECURITIES LLC (SAN FRANCISCO CA)

CA

12/17/2014 - 11/28/2018

WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)

CA

04/15/2014 - 12/11/2014

WEDBUSH SECURITIES INC. (SAN FRANCISCO CA)

CA

01/01/2005 - 10/13/2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 01/04/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/09/2022

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/15/2014

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 12/22/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Raymond H Han.
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