linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Stephen Zwick

Mizuho Securities USA LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Stephen? Claim Your Profile

About Stephen Zwick

Stephen Zwick is a financial advisor with over 30 years of experience in the industry. He has worked for various prominent firms like Lehman Brothers Inc., Kidder, Peabody & Co. Incorporated, and Jefferies LLC. Stephen holds Series 3, 7, 7TO and SIE licenses and is currently registered with Mizuho Securities USA LLC. Stephen is committed to providing clients with tailored financial solutions that help them achieve their financial goals.

Firm Information

Stephen Zwick 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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Stephen Zwick’s Registration & Firm History

IL

11/11/2023 - Present

Mizuho Securities USA LLC (CHICAGO IL)

IL

05/29/2015 - 11/23/2020

MIZUHO SECURITIES USA LLC (CHICAGO IL)

IL

12/05/2011 - 06/08/2015

JEFFERIES LLC (CHICAGO IL)

IL

09/22/2008 - 10/14/2011

BARCLAYS CAPITAL INC. (CHICAGO IL)

IL

01/02/1990 - 09/22/2008

LEHMAN BROTHERS INC. (CHICAGO IL)

NY

06/23/1989 - 08/28/1989

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

NA

12/02/1987 - 05/24/1988

PLANSMITH SECURITIES,INC.

NA

05/29/1986 - 11/12/1986

JOHN NUVEEN & CO., INCORPORATED

Not sure if Stephen Zwick is right for you?

Licenses & Designations

BC

Issued 08/05/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/11/2023

Series 7TO - General Securities Representative Examination

BC

Issued 11/06/2023

Series 3 - National Commodity Futures Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/17/1986

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 Zwick.
Not sure if Stephen Zwick is right for you?