Ellen Sullivan

MIRAE ASSET SECURITIES (USA)

New York, NY 10019

Some features on this profile are disabled

CRD#: 1208202

Professional summary

Ellen Sullivan, who also goes by Ellen M Camerlengo, Ellen Michele Camerlengo, is a registered financial professional currently at MIRAE ASSET SECURITIES (USA) INC. located in New York, New York.

Ellen is registered as a RR (Registered Representative) and started their career in finance in 1986. Ellen has worked at 9 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ellen M Camerlengo | Ellen Michele Camerlengo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ellen Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 5, 2017 - Present

MIRAE ASSET SECURITIES (USA) INC.

Office #1: 810 Seventh Avenue 37th Floor, New York, NY 10019

CRD#: 30679

New York, NY

Past

October 19, 2010 - October 27, 2016

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

July 1, 2003 - May 20, 2009

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

March 1, 2002 - June 26, 2003

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

May 8, 2000 - March 1, 2002

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

July 21, 1997 - June 23, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 3, 1995 - July 22, 1995

REPUBLIC NEW YORK SECURITIES CORPORATION

CRD#: 29659

NEW YORK, NY

Past

May 14, 1988 - August 31, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 21, 1986 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(3/2/2018)

Exams

State Security Law Exam

Series 63

Date: 3/2/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/16/2007

General Securities Principal Examination

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

MIRAE ASSET SECURITIES (USA) INC.

DAEWOO SECURITIES (AMERICA) INC. | MIRAE ASSET SECURITIES (USA) INC.

CRD#: 30679 / SEC#: , 8-45034

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

810 Seventh Avenue 37th Floor, New York, NY 10019

Mailing Address

810 Seventh Avenue 37th Floor, New York, NY 10019

Phone number

(212) 407-1000

Established

New York since 07/07/1992

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MIRAE ASSET SECURITIES HOLDINGS (USA) INC.	OWNER
DROZEN, ALEKSANDRA ANNA	CHIEF COMPLIANCE OFFICER	5038521
HANUKA, DANIEL MORRIS	PRINCIPAL FINANCIAL OFFICER & CFO	3032158
NOVELLO, GERARD	PRINCIPAL OPERATIONS OFFICER	2930933
RYU, JAEHONG	PRESIDENT AND CHIEF EXECUTIVE OFFICER	5905493

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ellen Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ellen Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANTOR FITZGERALD & CO.

UBS SECURITIES LLC

ABN AMRO INCORPORATED

ABN AMRO SECURITIES LLC

UBS FINANCIAL SERVICES INC.

REPUBLIC NEW YORK SECURITIES CORPORATION

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/2/2018

Series 99TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/16/1986

Series 24

Date: 11/16/2007

Cboe BZX Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

MEMX LLC

NYSE Arca, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

MIRAE ASSET SECURITIES (USA) INC.

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MIRAE ASSET SECURITIES (USA) INC.

TRUST BUT VERIFY

Similar Advisors