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TC

Thomas E. Christman

MIRAE ASSET SECURITIES (USA)
New York, NY 10019
Some features on this profile are disabled
CRD#: 2062897
TC

Professional summary

Thomas Edward Christman JR., who also goes by Thomas Edward Christman Jr, Tom E. Christman Jr., Tommy Christman, is a registered financial professional currently at MIRAE ASSET SECURITIES (USA) INC. located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 55 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Edward Christman Jr | Tom E. Christman Jr. | Tommy Christman

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 Thomas Edward Christman JR.'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

March 27, 2019 - Present

MIRAE ASSET SECURITIES (USA) INC.

Office #1: 810 Seventh Avenue 37th Floor, New York, NY 10019
BD
CRD#: 30679
New York, NY
Past

September 15, 2015 - March 8, 2019

FLEXTRADE LLC

BD
CRD#: 113226
GREAT NECK, NY
Past

October 2, 2014 - March 31, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

December 20, 2010 - April 18, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

December 20, 2010 - March 31, 2015

J.P. MORGAN CLEARING CORP.

BD
CRD#: 28432
NEW YORK, NY
Past

November 7, 2007 - November 30, 2010

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

March 5, 2002 - March 13, 2002

INVESTACORP, INC.

BD
CRD#: 7684
MIAMI, FL
Past

August 27, 1998 - July 12, 2001

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

December 16, 1993 - July 16, 1997

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX

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
(4/11/2019)
RR
Arizona
(4/11/2019)
RR
Arkansas
(4/11/2019)
RR
California
(4/11/2019)
RR
Colorado
(4/11/2019)
RR
Connecticut
(4/11/2019)
RR
Delaware
(4/11/2019)
RR
District of Columbia
(4/11/2019)
RR
Georgia
(4/11/2019)
RR
Hawaii
(4/11/2019)
RR
Idaho
(4/11/2019)
RR
Illinois
(4/11/2019)
RR
Indiana
(4/11/2019)
RR
Iowa
(4/11/2019)
RR
Kansas
(4/11/2019)
RR
Kentucky
(4/11/2019)
RR
Louisiana
(4/11/2019)
RR
Maine
(4/11/2019)
RR
Maryland
(4/11/2019)
RR
Massachusetts
(4/11/2019)
RR
Michigan
(4/11/2019)
RR
Minnesota
(4/11/2019)
RR
Mississippi
(4/11/2019)
RR
Missouri
(4/11/2019)
RR
Montana
(4/11/2019)
RR
Nebraska
(4/11/2019)
RR
Nevada
(4/11/2019)
RR
New Hampshire
(4/11/2019)
RR
New Jersey
(4/11/2019)
RR
New Mexico
(4/11/2019)
RR
New York
(3/27/2019)
RR
North Carolina
(4/11/2019)
RR
North Dakota
(4/11/2019)
RR
Ohio
(4/11/2019)
RR
Oklahoma
(4/11/2019)
RR
Oregon
(4/11/2019)
RR
Pennsylvania
(4/11/2019)
RR
Puerto Rico
(4/11/2019)
RR
Rhode Island
(4/11/2019)
RR
South Carolina
(4/11/2019)
RR
South Dakota
(4/11/2019)
RR
Tennessee
(4/11/2019)
RR
Texas
(4/11/2019)
RR
Utah
(4/11/2019)
RR
Vermont
(4/11/2019)
RR
Virginia
(4/11/2019)
RR
Washington
(4/11/2019)
RR
West Virginia
(4/11/2019)
RR
Wisconsin
(4/11/2019)
RR
Wyoming
(4/11/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 2/26/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/6/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 10/15/1998
Limited Representative-Equity Trader Exam
Principal/Supervisory Exam
RR
Series 24
Date: 12/14/1994
General Securities Principal Examination
SRO Registrations
RR
24X National Exchange LLC
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MIRAE ASSET SECURITIES HOLDINGS (USA) INC.OWNER
DROZEN, ALEKSANDRA ANNACHIEF COMPLIANCE OFFICER5038521
HANUKA, DANIEL MORRISPRINCIPAL FINANCIAL OFFICER & CFO3032158
PATEL, JITENDRA NATVARINTERIM PRINCIPAL OPERATIONS OFFICER4591310
RYU, JAEHONGPRESIDENT AND CHIEF EXECUTIVE OFFICER5905493

Disclosures

Regulatory Event2

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.

Company Information

MIRAE ASSET SECURITIES (USA) INC.

CRD#: 30679New York, NY 10019

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