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  5. MIZUHO SECURITIES USA LLC

MIZUHO SECURITIES USA LLC

Company Details

Name: MIZUHO SECURITIES USA LLC
Jurisdiction: New York
Legal type: FOREIGN LIMITED LIABILITY COMPANY
Status: Active
Date of registration: 20 Apr 2017 (8 years ago)
Entity Number: 5122556
ZIP code: 12207
County: New York
Place of Formation: Delaware
Address: 80 State Street, Albany, NY, United States, 12207

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
THE MIZUHO SECURITIES USA LLC SEVERANCE PLAN 2020 362880742 2021-10-12 MIZUHO SECURITIES USA LLC 1112
File View Page
Three-digit plan number (PN) 502
Effective date of plan 2007-01-01
Business code 523120
Sponsor’s telephone number 2122057938
Plan sponsor’s mailing address 1271 AVENUE OF THE AMERICAS, NEW YORK, NY, 10020
Plan sponsor’s address 1271 AVENUE OF THE AMERICAS, NEW YORK, NY, 10020

Number of participants as of the end of the plan year
Active participants 973

Signature of
Role Plan administrator
Date 2021-10-12
Name of individual signing SETH MUNIES
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2021-10-12
Name of individual signing SETH MUNIES
Valid signature Filed with authorized/valid electronic signature
THE MIZUHO SECURITIES USA LLC SEVERANCE PLAN 2019 362880742 2020-09-25 MIZUHO SECURITIES USA LLC 952
File View Page
Three-digit plan number (PN) 502
Effective date of plan 2007-01-01
Business code 523120
Sponsor’s telephone number 2122057938
Plan sponsor’s mailing address 1271 AVENUE OF THE AMERICAS, NEW YORK, NY, 10020
Plan sponsor’s address 1271 AVENUE OF THE AMERICAS, NEW YORK, NY, 10020

Number of participants as of the end of the plan year
Active participants 1112

Signature of
Role Plan administrator
Date 2020-09-25
Name of individual signing SETH MUNIES
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2020-09-25
Name of individual signing SETH MUNIES
Valid signature Filed with authorized/valid electronic signature
THE MIZUHO SECURITIES USA LLC SEVERANCE PLAN 2018 362880742 2019-09-11 MIZUHO SECURITIES USA LLC 630
File View Page
Three-digit plan number (PN) 502
Effective date of plan 2007-01-01
Business code 523120
Sponsor’s telephone number 2122057938
Plan sponsor’s mailing address 320 PARK AVE, NEW YORK, NY, 10022
Plan sponsor’s address 320 PARK AVE, NEW YORK, NY, 10022

Number of participants as of the end of the plan year
Active participants 952

Signature of
Role Plan administrator
Date 2019-09-11
Name of individual signing SETH MUNIES
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2019-09-11
Name of individual signing SETH MUNIES
Valid signature Filed with authorized/valid electronic signature
THE MIZUHO SECURITIES USA LLC SEVERANCE PLAN 2017 362880742 2018-11-21 MIZUHO SECURITIES USA LLC 420
Three-digit plan number (PN) 502
Effective date of plan 2007-01-01
Business code 523120
Sponsor’s telephone number 2122057938
Plan sponsor’s mailing address 320 PARK AVE, NEW YORK, NY, 10022
Plan sponsor’s address 320 PARK AVE, NEW YORK, NY, 10022

Number of participants as of the end of the plan year
Active participants 630

Signature of
Role Employer/plan sponsor
Date 2018-09-28
Name of individual signing SETH MUNIES
Valid signature Filed with authorized/valid electronic signature
MIZUHO SECURITIES USA LLC WELFARE BENEFIT PLAN 2017 362880742 2018-11-21 MIZUHO SECURITIES USA LLC 589
Three-digit plan number (PN) 501
Effective date of plan 1984-12-10
Business code 523120
Sponsor’s telephone number 2122057938
Plan sponsor’s mailing address 320 PARK AVE, NEW YORK, NY, 10022
Plan sponsor’s address 320 PARK AVE, NEW YORK, NY, 10022

Number of participants as of the end of the plan year
Active participants 696
Retired or separated participants receiving benefits 17

Signature of
Role Employer/plan sponsor
Date 2018-09-28
Name of individual signing SETH MUNIES
Valid signature Filed with authorized/valid electronic signature
MIZUHO SECURITIES USA LLC WELFARE BENEFIT PLAN 2017 362880742 2018-11-29 MIZUHO SECURITIES USA LLC 589
File View Page
Three-digit plan number (PN) 501
Effective date of plan 1984-12-10
Business code 523120
Sponsor’s telephone number 2122057938
Plan sponsor’s mailing address 320 PARK AVE, NEW YORK, NY, 10022
Plan sponsor’s address 320 PARK AVE, NEW YORK, NY, 10022

Number of participants as of the end of the plan year
Active participants 696
Retired or separated participants receiving benefits 17

Signature of
Role Plan administrator
Date 2018-11-29
Name of individual signing SETH MUNIES
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2018-11-29
Name of individual signing SETH MUNIES
Valid signature Filed with authorized/valid electronic signature
THE MIZUHO SECURITIES USA LLC SEVERANCE PLAN 2017 362880742 2018-11-29 MIZUHO SECURITIES USA LLC 420
File View Page
Three-digit plan number (PN) 502
Effective date of plan 2007-01-01
Business code 523120
Sponsor’s telephone number 2122057938
Plan sponsor’s mailing address 320 PARK AVE, NEW YORK, NY, 10022
Plan sponsor’s address 320 PARK AVE, NEW YORK, NY, 10022

Number of participants as of the end of the plan year
Active participants 630

Signature of
Role Plan administrator
Date 2018-11-29
Name of individual signing SETH MUNIES
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2018-11-29
Name of individual signing SETH MUNIES
Valid signature Filed with authorized/valid electronic signature

Agent

Name Role Address
CORPORATION SERVICE COMPANY Agent 80 STATE STreet, ALBANY, NY, 12207

DOS Process Agent

Name Role Address
CORPORATION SERVICE COMPANY DOS Process Agent 80 State Street, Albany, NY, United States, 12207

History

Start date End date Type Value
2023-04-24 2023-04-27 Address 80 State Street, Albany, NY, 12207, USA (Type of address: Service of Process)
2023-04-24 2023-04-27 Address 28 LIBERTY ST., NEW YORK, NY, 10005, USA (Type of address: Registered Agent)
2019-04-02 2023-04-24 Address 28 LIBERTY STREET, NEW YORK, NY, 10005, USA (Type of address: Service of Process)
2019-01-28 2023-04-24 Address 28 LIBERTY ST., NEW YORK, NY, 10005, USA (Type of address: Registered Agent)
2019-01-28 2019-04-02 Address 28 LIBERTY ST., NEW YORK, NY, 10005, USA (Type of address: Service of Process)
2017-04-20 2019-01-28 Address 111 EIGHTH AVENUE, NEW YORK, NY, 10011, USA (Type of address: Service of Process)
2017-04-20 2019-01-28 Address 111 EIGHTH AVENUE, NEW YORK, NY, 10011, USA (Type of address: Registered Agent)

Filings

Filing Number Date Filed Type Effective Date
230427001778 2023-04-26 CERTIFICATE OF CHANGE BY ENTITY 2023-04-26
230424002942 2023-04-24 BIENNIAL STATEMENT 2023-04-01
210426060658 2021-04-26 BIENNIAL STATEMENT 2021-04-01
190402061078 2019-04-02 BIENNIAL STATEMENT 2019-04-01
SR-78576 2019-01-28 CERTIFICATE OF CHANGE 2019-01-28
SR-78575 2019-01-28 CERTIFICATE OF CHANGE 2019-01-28
170623000614 2017-06-23 CERTIFICATE OF PUBLICATION 2017-06-23
170420000159 2017-04-20 APPLICATION OF AUTHORITY 2017-04-20

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80 State Street, Albany, NY, United States, 12207

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Date of last update: 07 Mar 2025

Sources: New York Secretary of State

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