Stuart E. Gould

MIRAE ASSET SECURITIES (USA)

New York, NY 10019

Some features on this profile are disabled

CRD#: 2298020

Professional summary

Stuart Ellis Gould, who also goes by Stuart Gould, is a registered financial professional currently at MIRAE ASSET SECURITIES (USA) INC. located in New York, New York.

Stuart is registered as a RR (Registered Representative) and started their career in finance in 1992. Stuart has worked at 9 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stuart Gould

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 Stuart Ellis Gould'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

July 19, 2022 - Present

MIRAE ASSET SECURITIES (USA) INC.

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

CRD#: 30679

New York, NY

Past

July 27, 2017 - August 17, 2022

MAXIM GROUP LLC

CRD#: 120708

RED BANK, NJ

Past

March 23, 2012 - June 1, 2017

TD ARRANGED SERVICES LLC

CRD#: 122529

NEW YORK, NY

Past

December 19, 2008 - May 31, 2017

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

April 9, 2007 - January 6, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

June 4, 2002 - March 20, 2007

CANTOR FITZGERALD & CO.

CRD#: 134

SHREWSBURY, NJ

Past

October 10, 2000 - May 10, 2002

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

March 11, 1996 - October 10, 2000

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

December 1, 1992 - March 25, 1996

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

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

Alaska
(8/22/2022)

Arizona
(8/22/2022)

Arkansas
(8/22/2022)

California
(8/22/2022)

Colorado
(8/22/2022)

Connecticut
(8/22/2022)

Delaware
(8/22/2022)

District of Columbia
(8/22/2022)

Georgia
(8/22/2022)

Hawaii
(8/22/2022)

Idaho
(8/22/2022)

Illinois
(8/22/2022)

Indiana
(8/22/2022)

Iowa
(8/22/2022)

Kansas
(8/22/2022)

Kentucky
(8/22/2022)

Louisiana
(8/22/2022)

Maine
(8/22/2022)

Maryland
(8/22/2022)

Massachusetts
(8/22/2022)

Michigan
(8/22/2022)

Minnesota
(8/22/2022)

Mississippi
(8/22/2022)

Missouri
(8/22/2022)

Montana
(8/22/2022)

Nebraska
(8/22/2022)

Nevada
(8/22/2022)

New Hampshire
(8/22/2022)

New Jersey
(8/22/2022)

New Mexico
(8/22/2022)

New York
(7/19/2022)

North Carolina
(8/22/2022)

North Dakota
(8/22/2022)

Ohio
(8/22/2022)

Oklahoma
(8/22/2022)

Oregon
(8/22/2022)

Pennsylvania
(8/22/2022)

Puerto Rico
(8/22/2022)

Rhode Island
(8/22/2022)

South Carolina
(8/22/2022)

South Dakota
(8/22/2022)

Tennessee
(8/22/2022)

Texas
(8/22/2022)

Utah
(8/22/2022)

Vermont
(8/22/2022)

Virginia
(8/22/2022)

Washington
(8/22/2022)

West Virginia
(8/22/2022)

Wisconsin
(8/22/2022)

Wyoming
(8/22/2022)

Exams

State Security Law Exam

Series 63

Date: 8/26/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 12/15/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 3/9/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/24/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/8/2003

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

Stuart E. Gould

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stuart Ellis Gould's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAXIM GROUP LLC

TD ARRANGED SERVICES LLC

COWEN AND COMPANY

MORGAN STANLEY & CO. LLC

CANTOR FITZGERALD & CO.

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/26/1993

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 12/15/1999

Series 3

Date: 3/9/1994

Series 7

Date: 11/24/1992

Series 24

Date: 4/8/2003

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