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Troy Ryan Goldberg

Mizuho Securities USA LLC

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About Troy Ryan Goldberg

Troy Goldberg has been in the securities industry since June 14, 2005. Troy is currently registered with Mizuho Securities USA LLC and is a General Securities Principal. Troy is licensed in all 50 states, the District of Columbia and Puerto Rico. Troy previously held positions at Santander US Capital Markets LLC, Santander Investment Securities Inc., RBS Securities Inc., and Barclays Capital Inc. Troy has a wide range of experience in the securities industry, including investment banking and securities trading. Troy is a highly qualified and experienced financial professional.

Firm Information

Troy Goldberg 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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Troy Goldberg’s Registration & Firm History

NY

11/02/2023 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

02/06/2023 - 09/15/2023

SANTANDER US CAPITAL MARKETS LLC (NEW YORK NY)

NY

08/21/2014 - 02/06/2023

SANTANDER INVESTMENT SECURITIES INC. (NEW YORK NY)

CT

05/26/2010 - 05/27/2014

RBS SECURITIES INC. (STAMFORD CT)

NY

01/21/2005 - 05/12/2010

BARCLAYS CAPITAL INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/03/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/17/2024

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/20/2005

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 Troy Ryan Goldberg.
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