CRD #19647 · FINRA BrokerCheck + SEC IAPD

Mizuho Securities USA LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Mizuho Securities USA LLC ranks #422 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #56 of 868 on the same disclosure sort used on the state browse page. 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
#422 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 19647 Mizuho Securities USA LLC

Mizuho Securities USA LLC · Grade D · 16 disc · 1.23/office · Regional firm

  • CRD 19647
  • GRADE D
  • DISC 16
  • REG 15
  • ARB 0
  • CIV 1
  • BRANCH 13
  • PER-OFF 1.23
  • RANK #422 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: TD Securities (USA) LLC (1.16 disc/office)

TD Securities (USA) LLC1.16Regal Securities, Inc.1.36Fidelity Distributors C…1.05Mizuho Securities U… (this)1.23
Disclosures per office among regional firm peers (lower is cleaner)

Mizuho Securities USA LLC ranks #422 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.23 disclosures per office. Verify on FINRA BrokerCheck →

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 for Mizuho Securities USA LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 15 Arbitration 0 Civil 1

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

Regulator-heavy mix

Mizuho Securities USA LLC in the heavier-disclosure third

Mizuho Securities USA LLC carries 16 BrokerCheck disclosures across 13 branch offices - a heavier-third raw book among graded firms (#422 of 20,055). Regulator-initiated events are 94% of the book (15 regulatory / 0 arbitration / 1 civil).

94% of Mizuho Securities USA LLC's 16 disclosures are regulator-initiated (15 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Mizuho Securities USA LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 1.83× state average

Mizuho Securities USA LLC sits above the New York disclosure average

Mizuho Securities USA LLC reports 16 BrokerCheck disclosures, 1.83× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Mizuho Securities USA LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Mizuho Securities USA LLC ranks #422 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #56 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
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 (regulatory, arbitration, or civil). Mizuho Securities USA LLC's 16 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
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.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Mizuho Securities USA LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • TD Securities (USA) LLC (NY) - 1.16 disclosures/office, nearest regional firm peer to Mizuho Securities USA LLC's 1.23
  • Regal Securities, Inc. (IL) - 1.36 disclosures/office, nearest regional firm peer to Mizuho Securities USA LLC's 1.23
  • Fidelity Distributors Company LLC (RI) - 1.05 disclosures/office, nearest regional firm peer to Mizuho Securities USA LLC's 1.23
  • Firms in NY - state roster that includes Mizuho Securities USA LLC's registration home.
  • Red Flags in Advisor Records - How to read Mizuho Securities USA LLC's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 16 disclosures behind Mizuho Securities USA LLC's Grade D.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Mizuho Securities USA LLC.
  • Compare firms - put Mizuho Securities USA LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.