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Shivani Modi

Mizuho Securities USA LLC

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About Shivani Modi

Shivani Modi is a registered representative with Mizuho Securities USA LLC. Shivani has been in the securities industry since October 17, 2021. Shivani is registered with the following securities authorities: FINRA, and the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Shivani has passed the Series 63, Series 57TO, Series 7TO, Series 79TO, and SIE exams.

Firm Information

Shivani Modi 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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Shivani Modi’s Registration & Firm History

NY

10/18/2021 - 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 03/17/2023

Series 57TO - Securities Trader Exam

BC

Issued 12/02/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/16/2021

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 09/01/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Shivani Modi.
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