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Thomas Fitzpatrick

Mizuho Securities USA LLC

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About Thomas Fitzpatrick

Thomas Fitzpatrick is a financial advisor with over 10 years of experience in the industry. Thomas has a wide range of experience, having worked at several firms, including Jefferies LLC, HSBC Securities (USA) Inc., Deutsche Bank Securities Inc., UBS Securities LLC, and Credit Suisse Securities (USA) LLC. Thomas is currently registered with Mizuho Securities USA LLC. Thomas holds the Series 7, Series 63, and Series 7TO licenses.

Firm Information

Thomas Fitzpatrick 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 Fitzpatrick’s Registration & Firm History

NY

08/26/2024 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

05/22/2013 - 04/25/2014

JEFFERIES LLC (NEW YORK NY)

NY

03/18/2010 - 03/04/2013

HSBC SECURITIES (USA) INC. (NEW YORK NY)

NY

12/02/2004 - 12/31/2008

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/01/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/02/2021

Series 7TO - General Securities Representative Examination

BC

Issued 10/18/2021

SIE - Securities Industry Essentials Examination

BC

Issued 12/01/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Thomas Fitzpatrick.
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