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Shivam Bhatt

Mizuho Securities USA LLC

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About Shivam Bhatt

Shivam Bhatt is an investment banking registered representative licensed in all 50 states and the District of Columbia. Shivam is associated with Mizuho Securities USA LLC and has been in the industry since 2021.

Firm Information

Shivam Bhatt 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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Shivam Bhatt’s Registration & Firm History

NY

10/22/2021 - Present

Mizuho Securities USA LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/13/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/22/2021

SIE - Securities Industry Essentials Examination

BC

Issued 08/09/2021

Series 79TO - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shivam Bhatt.
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