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Steven J Shannon

Mizuho Securities USA LLC

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About Steven J Shannon

Steven J Shannon is a registered representative with Mizuho Securities USA LLC and has been in the securities industry since November 23, 2015. Steven has passed the Securities Industry Essentials Examination (SIE) and the Operations Professional Examination (Series 99). Steven was previously employed by Deutsche Bank Securities Inc.

Firm Information

Steven Shannon 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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Steven Shannon’s Registration & Firm History

NY

03/20/2018 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

09/25/2014 - 01/19/2017

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/25/2014

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven J Shannon.
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