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Stephen Andrew St pierre

Mizuho Securities USA LLC

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About Stephen Andrew St pierre

Stephen Andrew St pierre is an experienced financial professional with over 25 years of experience in the industry. Stephen is currently registered with Mizuho Securities USA LLC, and previously held roles with Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc., Collins Stewart LLC, and PaineWebber Incorporated. Stephen holds a variety of licenses and certifications, including Series 7, 10, 24, 63, 86, 87, and SIE. Stephen is committed to providing comprehensive financial advice to clients.

Firm Information

Stephen St pierre 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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Stephen St pierre’s Registration & Firm History

NY

07/18/2023 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

01/12/2016 - 08/04/2023

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

NY

09/30/2010 - 01/15/2016

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

05/27/2009 - 08/16/2010

COLLINS STEWART LLC. (NEW YORK NY)

NY

01/27/2009 - 05/26/2009

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

10/06/1998 - 11/06/2008

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NJ

11/05/1997 - 09/23/1998

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

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Licenses & Designations

BC

Issued 12/02/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/28/2009

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/20/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 07/11/2005

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 11/04/1997

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 Stephen Andrew St pierre.
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