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William A Featherston

Mizuho Securities USA LLC

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About William A Featherston

William A. Featherston is a financial professional with over 29 years of experience in the industry. William is currently registered with Mizuho Securities USA LLC. William has previously worked with UBS Securities LLC, Credit Suisse Securities (USA) LLC, PaineWebber Incorporated, Schroder & Co. Inc., and Gerard Klauer Mattison & Co.,L.L.C., among other firms. William holds licenses for Series 63, Series 24, SIE, Series 87, Series 86, and Series 7. William is registered in 52 states and is a registered principal with FINRA.

Firm Information

William Featherston 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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William Featherston’s Registration & Firm History

NY

01/02/2024 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

09/29/2023 - 01/30/2024

UBS SECURITIES LLC (NEW YORK NY)

NY

10/03/2017 - 09/29/2023

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

NY

11/03/2000 - 08/15/2017

UBS SECURITIES LLC (NEW YORK NY)

NJ

03/24/2000 - 11/03/2000

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

05/12/1997 - 03/29/2000

SCHRODER & CO. INC. (NEW YORK NY)

NY

12/06/1996 - 05/07/1997

GERARD KLAUER MATTISON & CO.,L.L.C. (NEW YORK NY)

NY

09/14/1992 - 02/13/1995

BANCA IMI SECURITIES CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/15/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/03/2010

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/30/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 09/20/2004

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 09/10/1992

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 William A Featherston.
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