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William James Farrell

Mizuho Securities USA LLC

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About William James Farrell

William Farrell is a financial professional with over 25 years of experience in the financial services industry. William has a strong track record of success in the securities industry, having worked for several prominent firms, including Credit Suisse Securities (USA) LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and BANC of America Securities LLC. William currently works at Mizuho Securities USA LLC. William is registered to provide securities advice and services in all 50 states, the District of Columbia, and Puerto Rico. William's professional designations include Series 3, Series 7, Series 24, and Series 63.

Firm Information

William Farrell 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 Farrell’s Registration & Firm History

MA

01/19/2023 - Present

Mizuho Securities USA LLC (BOSTON MA)

MA

06/24/2011 - 02/15/2023

CREDIT SUISSE SECURITIES (USA) LLC (BOSTON MA)

MA

11/01/2010 - 06/24/2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOSTON MA)

MA

01/12/2009 - 11/01/2010

BANC OF AMERICA SECURITIES LLC (BOSTON MA)

MA

03/20/2000 - 01/15/2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOSTON MA)

CA

09/26/1997 - 03/01/2000

FLEETBOSTON ROBERTSON STEPHENS INC. (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 04/23/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/08/2021

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/26/2005

Series 3 - National Commodity Futures Examination

BC

Issued 09/15/1997

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 James Farrell.
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