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Thomas Anthony Giardino

Mizuho Securities USA LLC

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About Thomas Anthony Giardino

Thomas Giardino is a financial professional with over 20 years of experience in the securities industry. Thomas is currently registered with Mizuho Securities USA LLC as a general securities representative. Previously, Thomas worked at RBS Securities Inc., RBS Securities Corporation, NatWest Securities Corporation, NatWest International Securities Inc., and UBS Securities Inc. Thomas is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, Series 24, Series 52, and Series 79 licenses. Thomas is also registered with the Securities Investor Protection Corporation (SIPC).

Firm Information

Thomas Giardino 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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Thomas Giardino’s Registration & Firm History

NY

04/03/2015 - Present

Mizuho Securities USA LLC (NEW YORK NY)

CT

08/13/2007 - 04/10/2015

RBS SECURITIES INC. (STAMFORD CT)

NY

07/13/2004 - 08/15/2007

RBS SECURITIES CORPORATION (NEW YORK NY)

NY

10/11/1995 - 08/31/1998

NATWEST SECURITIES CORPORATION (NEW YORK NY)

NY

11/26/1993 - 10/05/1995

NATWEST INTERNATIONAL SECURITIES INC. (NEW YORK NY)

NY

03/02/1993 - 11/30/1993

UBS SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/04/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/07/2022

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/26/1993

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 Thomas Anthony Giardino.
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