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Robert Vernon Fulk

Mizuho Securities USA LLC

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About Robert Vernon Fulk

Robert Vernon Fulk is a securities professional with over 18 years of experience in the financial services industry. Robert is currently registered with Mizuho Securities USA LLC and has been with the firm since April 2019. Previously, Robert was employed with Credit Suisse Securities (USA) LLC from August 2015 to May 2019 and from August 2004 to October 2014, and with Morgan Stanley & Co., Incorporated from April 2001 to April 2002. Robert holds a variety of licenses including Series 3, 7, 9, 10, 55, 57TO and 63, and the SIE exam. Robert's career spans a wide range of experience in the securities industry, including trading, sales, and supervision.

Firm Information

Robert Fulk 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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Robert Fulk’s Registration & Firm History

NY

04/16/2019 - Present

Mizuho Securities USA LLC (NEW YORK NY)

GA

08/20/2015 - 05/07/2019

CREDIT SUISSE SECURITIES (USA) LLC (ATLANTA GA)

GA

08/11/2004 - 10/09/2014

CREDIT SUISSE SECURITIES (USA) LLC (ATLANTA GA)

NY

04/09/2001 - 04/23/2002

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/29/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/30/2015

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/16/2015

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/20/2004

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/06/2004

Series 3 - National Commodity Futures Examination

BC

Issued 04/06/2001

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 Robert Vernon Fulk.
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