Jeremy B. Roth

MIRAE ASSET SECURITIES (USA)

New York, NY 10019

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CRD#: 2822673

Professional summary

Jeremy Beau Roth, who also goes by Jeremy B Roth, Jeremy Roth, is a registered financial professional currently at MIRAE ASSET SECURITIES (USA) INC. located in New York, New York.

Jeremy is registered as a RR (Registered Representative) and started their career in finance in 1997. Jeremy has worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 99, Series 3, Series 55, Series 25 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeremy B Roth | Jeremy Roth

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 Jeremy Beau Roth'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

August 5, 2025 - Present

MIRAE ASSET SECURITIES (USA) INC.

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

CRD#: 30679

New York, NY

Past

September 23, 2021 - January 28, 2025

INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC

CRD#: 131487

NEW YORK, NY

Past

September 24, 2019 - August 14, 2020

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 28, 2017 - August 19, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

New York, NY

Past

January 2, 2015 - April 22, 2015

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

November 21, 2013 - January 2, 2015

NEWEDGE USA, LLC

CRD#: 36118

NEW YORK, NY

Past

February 15, 2011 - June 17, 2013

IDB CAPITAL CORP.

CRD#: 106032

NEW YORK, NY

Past

February 15, 2008 - April 22, 2010

BETTERMENT SECURITIES

CRD#: 47788

NEW YORK, NY

Past

January 11, 2008 - April 22, 2010

MADISON PROPRIETARY TRADING GROUP, LLC

CRD#: 139818

NEW YORK, NY

Past

March 1, 2004 - August 10, 2004

DFH EQUITIES, INC.

CRD#: 127328

FRANKLIN SQUARE, NY

Past

March 1, 2004 - August 13, 2004

CJM SECURITIES, INC.

CRD#: 110706

NEW YORK, NY

Past

April 26, 1999 - February 27, 2004

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

September 22, 1997 - December 9, 1997

THINKEQUITY LLC

CRD#: 20996

NEW YORK, NY

Past

May 28, 1997 - October 20, 1997

WEST AMERICA SECURITIES CORP

CRD#: 35035

LAS VEGAS, NV

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

New York
(8/5/2025)

Exams

State Security Law Exam

Series 63

Date: 2/8/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/19/2017

General Securities Representative Examination

General Industry/Product Exam

Series 99

Date: 9/28/2017

Operations Professional Examination

General Industry/Product Exam

Series 3

Date: 11/15/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 4/11/2008

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 25

Date: 5/9/2002

NYSE Trading Assistant Examination

Principal/Supervisory Exam

Series 4

Date: 10/9/2008

Registered Options 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)

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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

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.

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Advisor Monitoring

Firm Stability Insights

Jeremy B. Roth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeremy Beau Roth's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC

DEUTSCHE BANK SECURITIES INC.

J.P. MORGAN SECURITIES LLC

SG AMERICAS SECURITIES, LLC

NEWEDGE USA, LLC

IDB CAPITAL CORP.

BETTERMENT SECURITIES

MADISON PROPRIETARY TRADING GROUP, LLC

DFH EQUITIES, INC.

CJM SECURITIES, INC.

PERSHING LLC

THINKEQUITY LLC

WEST AMERICA SECURITIES CORP

State Registrations and Notice Filings

Exams

Series 63

Date: 2/8/2018

SIE

Date: 10/1/2018

Series 7

Date: 12/19/2017

Series 99

Date: 9/28/2017

Series 3

Date: 11/15/2008

Series 55

Date: 4/11/2008

Series 25

Date: 5/9/2002

Series 4

Date: 10/9/2008

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

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