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Thomas Paul Smith

Mizuho Securities USA LLC

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About Thomas Paul Smith

Thomas Paul Smith is a registered representative with Mizuho Securities USA LLC, a broker-dealer firm. Thomas is licensed to sell securities and conduct investment transactions. He has passed the Securities Industry Essentials Examination (SIE) and the Operations Professional Examination (Series 99). Thomas has been in the securities industry since February 19, 2014.

Firm Information

Thomas Smith 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 Smith’s Registration & Firm History

NJ

02/20/2014 - Present

Mizuho Securities USA LLC (ISELIN NJ)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/20/2014

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Paul Smith.
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