Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Patrick Carbone is a financial advisor with over 20 years of experience in the industry. Stephen is currently registered with Mizuho Securities USA LLC. Prior to joining Mizuho, Stephen was a Registered Representative at BNP Paribas Securities Corp. and CastleOak Securities, LP. Stephen has a broad range of experience in the financial services industry. Stephen holds a Series 7, Series 63, Series 57TO and SIE licenses.
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.
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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2
NY
10/02/2023 - Present
Mizuho Securities USA LLC (NEW YORK NY)
NY
08/17/2017 - 07/13/2023
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
10/11/2016 - 06/09/2017
CASTLEOAK SECURITIES, LP (NEW YORK NY)
NY
08/08/2011 - 07/20/2016
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
11/01/2010 - 04/06/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
01/01/2001 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BC
Issued 12/29/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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