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Vinod Srinivasaraghavan

Mizuho Securities USA LLC

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About Vinod Srinivasaraghavan

Vinod Srinivasaraghavan is a financial professional with over 9 years of experience in the industry. Currently, Vinod is registered with Mizuho Securities USA LLC. Before joining Mizuho Securities USA LLC, Vinod was employed at Barclays Capital Inc., Oppenheimer & Co. Inc., Canaccord Genuity Inc., Ladenburg Thalmann & Co. Inc., and Sidot & Company, LLC. Vinod holds Series 63, SIE, Series 87, Series 86, and Series 7 licenses. Vinod is registered in 52 states and the District of Columbia.

Firm Information

Vinod Srinivasaraghavan 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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Vinod Srinivasaraghavan’s Registration & Firm History

NY

01/26/2024 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

05/25/2021 - 11/21/2023

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

04/09/2018 - 04/01/2021

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

02/29/2016 - 03/01/2018

CANACCORD GENUITY INC. (NEW YORK NY)

NY

03/20/2014 - 02/16/2016

LADENBURG THALMANN & CO. INC. (NEW YORK NY)

NY

08/05/2013 - 09/27/2013

SIDOTI & COMPANY, LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/15/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/18/2014

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 05/05/2014

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 08/05/2013

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 Vinod Srinivasaraghavan.
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