linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Sean P Smith

Mizuho Securities USA LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Sean? Claim Your Profile

About Sean P Smith

Sean Smith is a financial professional with over 23 years of experience in the industry. Sean is currently registered with Mizuho Securities USA LLC, a firm specializing in providing investment banking, securities brokerage, and other financial services to institutional and corporate clients. Before joining Mizuho Securities USA LLC, Sean held positions at Jefferies & Company, Inc., Tradition Asiel Securities Inc., and Goldman, Sachs & Co., all of which are well-known and reputable firms. Sean's background and experience demonstrate his strong commitment to providing clients with sound financial advice and investment strategies.

Firm Information

Sean Smith 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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Sean Smith’s Registration & Firm History

NY

10/14/2011 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

03/15/2010 - 04/28/2011

JEFFERIES & COMPANY, INC. (NEW YORK NY)

NY

01/26/2009 - 03/05/2010

TRADITION ASIEL SECURITIES INC. (NEW YORK NY)

NY

11/02/1999 - 12/31/2008

GOLDMAN, SACHS & CO. (NEW YORK NY)

Not sure if Sean P Smith is right for you?

Licenses & Designations

BC

Issued 10/08/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/25/2017

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/01/1999

Series 7 - General Securities Representative Examination

BC

Issued 10/14/1999

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Sean P Smith.
Not sure if Sean P Smith is right for you?