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Shaival Shamik Patel

Mizuho Securities USA LLC

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About Shaival Shamik Patel

Shaival Shamik Patel is a financial professional with over 14 years of experience in the industry. Currently registered with Mizuho Securities USA LLC, Shaival has held previous roles at Macquarie Capital (USA) Inc., HRC Fund Associates, LLC, SDDCO Brokerage Advisors LLC, Credit Suisse Securities (USA) LLC, Burnham Securities Inc., and Jefferies & Company, Inc. Shaival holds the Series 7, Series 24, Series 63, Series 86 and Series 87 licenses. Shaival is registered in 52 states and the District of Columbia.

Firm Information

Shaival Patel 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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Shaival Patel’s Registration & Firm History

NY

02/25/2020 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

07/06/2016 - 11/08/2019

MACQUARIE CAPITAL (USA) INC. (NEW YORK NY)

NY

03/25/2015 - 06/09/2016

HRC FUND ASSOCIATES, LLC (NEW YORK NY)

NY

02/02/2015 - 03/25/2015

SDDCO BROKERAGE ADVISORS LLC (NEW YORK NY)

NY

07/31/2013 - 02/02/2015

HRC FUND ASSOCIATES, LLC (NEW YORK NY)

NY

02/08/2010 - 05/08/2012

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

08/04/2009 - 02/05/2010

BURNHAM SECURITIES INC. (NEW YORK NY)

NY

01/24/2006 - 12/15/2008

JEFFERIES & COMPANY, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/05/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/21/2021

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/22/2010

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 05/13/2010

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 01/23/2006

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 Shaival Shamik Patel.
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