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Terence King

Mizuho Securities USA LLC

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About Terence King

Terence King has been in the securities industry since 1996. He has a broad range of experience, having worked at a number of firms including Credit Agricole Securities (USA) Inc., Legg Mason Investor Services, LLC, and Ferretti Group, Inc.. Terence is currently registered with Mizuho Securities USA LLC and holds Series 7, 24, 55, 57TO and SIE licenses. Terence is registered in New York.

Firm Information

Terence King 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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Terence King’s Registration & Firm History

NY

08/19/2024 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

06/24/2021 - 08/30/2024

CREDIT AGRICOLE SECURITIES (USA) INC. (NEW YORK NY)

NY

01/17/2013 - 03/31/2020

LEGG MASON INVESTOR SERVICES, LLC (NEW YORK NY)

NY

08/15/2011 - 10/28/2011

FERRETTI GROUP, INC. (NEW YORK NY)

NY

10/09/2007 - 08/25/2011

LOMBARDI & CO., INC. (NEW YORK NY)

NY

03/22/2010 - 12/22/2010

SEVEN POINTS CAPITAL, LLC (NEW YORK NY)

VT

04/20/2006 - 10/09/2007

BATTENKILL CAPITAL, INC. (MANCHESTER CENTER VT)

NY

08/31/2004 - 03/24/2006

RAYMOND C. FORBES & CO., INC. (NEW YORK NY)

NY

08/12/1998 - 09/10/2004

NATEXIS BLEICHROEDER INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/03/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/02/2010

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/03/2008

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 07/22/1999

Series 25 - NYSE Trading Assistant Examination

BC

Issued 12/11/1996

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 Terence King.
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