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SK

Stanley S. Ku

MIRAE ASSET SECURITIES (USA)
New York, NY 10019
Some features on this profile are disabled
CRD#: 2554611
SK

Professional summary

Stanley Sinyup Ku, who also goes by Sin Yup Ku, Stanely Sinyup Ku, is a registered financial advisor currently at MIRAE ASSET SECURITIES (USA) INC. located in New York, New York.

Stanley is registered as a RR (Registered Representative) and started their career in finance in 1994. Stanley has worked at 5 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sin Yup Ku | Stanely Sinyup Ku

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 Stanley Sinyup Ku'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 8, 2021 - Present

MIRAE ASSET SECURITIES (USA) INC.

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

August 17, 2016 - March 31, 2021

KBFG SECURITIES AMERICA INC.

BD
CRD#: 39356
NEW YORK, NY
Past

August 17, 2005 - August 22, 2016

MIRAE ASSET SECURITIES (USA) INC.

BD
CRD#: 30679
NEW YORK, NY
Past

November 8, 2000 - May 7, 2004

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CENTURY CITY, CA
Past

October 27, 2000 - May 7, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 28, 1998 - November 2, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 25, 1996 - April 3, 1998

DAEHAN SECURITIES, INC.

BD
CRD#: 25447
LOS ANGELES, CA
Past

December 21, 1994 - March 1, 1995

DAEHAN SECURITIES, INC.

BD
CRD#: 25447
LOS ANGELES, CA

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
(4/8/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/14/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/28/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative 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 3
Date: 10/15/2003
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/20/2022
General Securities Principal 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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