JD
James E. Dillon
MIRAE ASSET SECURITIES (USA)
New York, NY 10019
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CRD#: 2271193
JD
Professional summary
James Edward Dillon JR, who also goes by Jim Dillon, 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 2001. James has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 72 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Dillon
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 Edward Dillon 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®
NoneExperience
Current
April 26, 2018 - Present
MIRAE ASSET SECURITIES (USA) INC.
Office #1: 810 Seventh Avenue 37th Floor, New York, NY 10019BD
CRD#: 30679
New York, NY
Past
October 21, 2016 - June 28, 2017
WEDBUSH SECURITIES INC.
BD
CRD#: 877
CHICAGO, IL
Past
February 6, 2016 - October 14, 2016
DIRECT MATCH
BD
CRD#: 226580
Chicago, IL
Past
August 4, 2011 - March 13, 2014
CHOPPER SECURITIES, LLC
BD
CRD#: 154491
CHICAGO, IL
Past
May 31, 2001 - July 28, 2009
BROKERTEC AMERICAS LLC
BD
CRD#: 47477
JERSEY CITY, NJ
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(4/26/2018)
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 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 72
Date: 5/30/2001
Government Securities Representative ExaminationSRO 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.
