Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗

CRD #19647 · FINRA BrokerCheck + SEC IAPD

Mizuho Securities USA LLC

Mizuho Securities USA LLC carries 16 BrokerCheck disclosures across 13 branch offices - elevated load for a regional firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
13
branch offices
16
disclosures
1.23
per office

PlainAdvisorCheck rating 2/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

13 offices

FINRA: Large firm

Total disclosures

16 events

On FINRA BrokerCheck

Regulatory events

15 actions

94% of all disclosures

Disclosures per office

1.23 per office

16 ÷ 13 offices

Mizuho Securities USA LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 24% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). This entry sits in this band. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 15
Arbitrations 0
Civil Events 1
Total 16

Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗

Disclosure category share

Regulatory 15 Arbitration 0 Civil 1

Disclosure Profile

Mizuho Securities USA LLC's disclosure record, broken down by category and footprint.

Disclosures per office
1.23
Elevated load
Regulatory share
94%
of total disclosures
Size class
Regional firm
13 branches

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY, 10020
Formed
04/08/1994
State of Formation
Delaware
CRD Number
19647
SEC Number
37710

Verify at FINRA BrokerCheck

FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.

View on FINRA BrokerCheck ↗

What the Record Says About Mizuho Securities USA LLC

Mizuho Securities USA LLC (Limited Liability Company, CRD# 19647 · SEC# 37710 · New York, NY) operates 13 branch offices - a regional firm (FINRA: large), scope ACTIVE.

BrokerCheck shows 16 disclosures as of July 2026 (about 1.23 per branch office): 15 regulatory, 0 arbitration, 1 civil. Letter grade D (2/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing, it can range from a settled customer dispute to a formal regulatory sanction, but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.

View all firms in NY →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

What does a grade of D mean for Mizuho Securities USA LLC?
A grade of D reflects Mizuho Securities USA LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 16 total disclosures across 13 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Mizuho Securities USA LLC have?
Mizuho Securities USA LLC has 16 total FINRA disclosures, including 15 regulatory events, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Mizuho Securities USA LLC?
Mizuho Securities USA LLC operates 13 branch offices and is classified by FINRA as a large firm, registered in NY (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Mizuho Securities USA LLC's disciplinary record?
You can verify Mizuho Securities USA LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 19647. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Mizuho Securities USA LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Mizuho Securities USA LLC carries 16 disclosures across 13 branch offices (about 1.23 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Related Guides

How to Vet a Financial Advisor

Step-by-step due diligence process for evaluating advisor backgrounds.

Reading BrokerCheck Reports

How to interpret FINRA BrokerCheck data and disclosures.

Red Flags in Advisor Records

Warning signs to watch for when reviewing disciplinary histories.

Explore More Firm Data

Firms in NY

Browse every broker-dealer registered in NY, with grades and disclosure records.

Most Disclosures

The broker-dealers carrying the highest disclosure counts on FINRA BrokerCheck.

Clean-Record Firms

Grade-A firms with no reportable disclosures, ranked by footprint.

SEC Enforcement

Browse SEC litigation releases and enforcement actions from 2018 onward.

Read our methodology - how this data is sourced, computed, and verified.

Related

Browse all firms → | Rankings →
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error.