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Uy D Ear

Mizuho Securities USA LLC

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About Uy D Ear

Uy Ear is an active broker registered with FINRA through Mizuho Securities USA LLC. Uy has over 10 years of experience in the securities industry. Prior to their current employment, Uy worked at Credit Suisse Securities (USA) LLC, UBS Securities LLC, Natixis Bleichroeder Inc. and Piper Jaffray & Co. Uy is registered to offer securities in 52 states and the District of Columbia. The individual advisor has passed the Series 7, 86, 87, and SIE exams. Uy also has a Series 63 license.

Firm Information

Uy Ear 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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Uy Ear’s Registration & Firm History

NY

09/05/2019 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

06/14/2018 - 09/27/2019

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

02/27/2017 - 06/15/2018

UBS SECURITIES LLC (NEW YORK NY)

NY

05/13/2015 - 05/15/2015

UBS SECURITIES LLC (NEW YORK NY)

NY

09/13/2011 - 10/30/2014

UBS SECURITIES LLC (NEW YORK NY)

NY

06/20/2006 - 10/30/2009

NATIXIS BLEICHROEDER INC. (NEW YORK NY)

NY

05/04/2005 - 06/13/2006

PIPER JAFFRAY & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/23/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/24/2005

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 05/03/2005

Series 7 - General Securities Representative Examination

BC

Issued 02/26/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Uy D Ear.
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