JD
James T. De Alto
MIRAE ASSET SECURITIES (USA)
New York, NY 10019
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CRD#: 1516429
JD
Professional summary
James Thomas De Alto, who also goes by James Thomas Dealto, is a registered financial professional currently at MIRAE ASSET SECURITIES (USA) INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1990. James has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Thomas Dealto
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.
CRS (Client Relationship Summary) - BD
Click below to view James Thomas De Alto'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®
NoneExperience
Current
September 8, 2016 - Present
MIRAE ASSET SECURITIES (USA) INC.
Office #1: 810 Seventh Avenue 37th Floor, New York, NY 10019BD
CRD#: 30679
New York, NY
Past
January 4, 2011 - September 8, 2016
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
BD
CRD#: 131487
NEW YORK, NY
Past
August 28, 2009 - November 29, 2010
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
NEW YORK, NY
Past
March 10, 2009 - August 10, 2009
CELADON FINANCIAL GROUP LLC
BD
CRD#: 36538
NEW YORK, NY
Past
May 13, 2004 - March 6, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 4, 1998 - May 7, 2004
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
November 29, 1990 - August 7, 1998
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alaska(3/21/2019)
RR
Arizona(3/21/2019)
RR
Arkansas(3/21/2019)
RR
California(3/21/2019)
RR
Colorado(3/21/2019)
RR
Connecticut(3/21/2019)
RR
Delaware(3/21/2019)
RR
District of Columbia(3/21/2019)
RR
Georgia(3/21/2019)
RR
Hawaii(3/21/2019)
RR
Idaho(3/21/2019)
RR
Illinois(3/21/2019)
RR
Indiana(3/21/2019)
RR
Iowa(3/21/2019)
RR
Kansas(3/21/2019)
RR
Kentucky(3/21/2019)
RR
Louisiana(3/21/2019)
RR
Maine(3/21/2019)
RR
Maryland(3/21/2019)
RR
Massachusetts(3/21/2019)
RR
Michigan(3/21/2019)
RR
Minnesota(3/21/2019)
RR
Mississippi(3/21/2019)
RR
Missouri(3/21/2019)
RR
Montana(3/21/2019)
RR
Nebraska(3/21/2019)
RR
Nevada(3/21/2019)
RR
New Hampshire(3/21/2019)
RR
New Jersey(3/21/2019)
RR
New Mexico(3/21/2019)
RR
New York(9/8/2016)
RR
North Carolina(3/21/2019)
RR
North Dakota(3/21/2019)
RR
Ohio(3/21/2019)
RR
Oklahoma(3/21/2019)
RR
Oregon(3/21/2019)
RR
Pennsylvania(3/21/2019)
RR
Puerto Rico(3/21/2019)
RR
Rhode Island(3/21/2019)
RR
South Carolina(3/21/2019)
RR
South Dakota(3/21/2019)
RR
Tennessee(3/21/2019)
RR
Texas(3/21/2019)
RR
Utah(3/21/2019)
RR
Vermont(3/21/2019)
RR
Virginia(3/21/2019)
RR
Washington(3/21/2019)
RR
West Virginia(3/21/2019)
RR
Wisconsin(3/21/2019)
RR
Wyoming(3/21/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MA
MIRAE ASSET SECURITIES (USA) INC.
DAEWOO SECURITIES (AMERICA) INC. | MIRAE ASSET SECURITIES (USA) INC.
CRD#: 30679 / SEC#: , 8-45034
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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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
80
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
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.
