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DP

David S. Pastilha

MIRAE ASSET SECURITIES (USA)
New York, NY 10019
Some features on this profile are disabled
CRD#: 2149974
DP

Professional summary

David Saraiva Pastilha is a registered financial professional currently at MIRAE ASSET SECURITIES (USA) INC. located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1991. David has worked at 10 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 David Saraiva Pastilha'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

April 15, 2025 - Present

MIRAE ASSET SECURITIES (USA) INC.

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

February 17, 2023 - February 28, 2025

SMBC NIKKO SECURITIES AMERICA, INC.

BD
CRD#: 28602
White Plains, NY
Past

December 16, 2003 - January 12, 2023

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

November 5, 2003 - December 19, 2003

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

July 4, 2000 - November 14, 2003

BNY CLEARING SERVICES LLC

BD
CRD#: 15879
MILWAUKEE, WI
Past

July 16, 1997 - July 4, 2000

BHF SECURITIES CORPORATION

BD
CRD#: 7749
NEW YORK, NY
Past

April 26, 1995 - May 20, 1997

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

November 18, 1994 - March 20, 1995

CHEMICAL INVESTMENT SERVICES CORP.

BD
CRD#: 36312
Past

October 6, 1993 - September 1, 1994

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

August 9, 1991 - September 24, 1993

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 9, 1991 - September 24, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
New York
(4/15/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/8/1991
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: 8/6/1991
General Securities Representative Examination
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
NOVELLO, GERARDPRINCIPAL OPERATIONS OFFICER2930933
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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