Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Romi? Claim Your ProfileRomi Alison Moler is a financial professional with over 13 years of experience in the industry. She has held roles at Mizuho Securities USA Inc. and SG Americas Securities, LLC. Currently, Romi is registered with Mizuho Securities USA LLC, and holds Series 3, 7, 63, 99TO, and SIE licenses.
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.
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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2
IL
04/23/2018 - Present
Mizuho Securities USA LLC (CHICAGO IL)
IL
12/06/2016 - 03/22/2018
SG AMERICAS SECURITIES, LLC (CHICAGO IL)
IL
09/07/2009 - 12/05/2016
MIZUHO SECURITIES USA INC. (CHICAGO IL)
BC
Issued 01/19/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/2009
Series 7 - General Securities Representative Examination
BC
Issued 12/11/2002
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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