Michael S. Ponzo

MIRAE ASSET SECURITIES (USA)

New York, NY 10019

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CRD#: 4363348

Professional summary

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

Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 8 firms and has passed the Series 63, Series 65, Series 57TO, Series 99TO, SIE, Series 55, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Ponzo

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 Michael Salvatore Ponzo'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

March 25, 2019 - Present

MIRAE ASSET SECURITIES (USA) INC.

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

CRD#: 30679

New York, NY

Past

February 23, 2017 - October 22, 2018

DRIVEWEALTH INSTITUTIONAL LLC

CRD#: 33038

NEW YORK, NY

Past

April 28, 2011 - December 31, 2015

RANGE GLOBAL LLC

CRD#: 104393

NEW YORK, NY

Past

May 18, 2007 - March 27, 2012

BETTERMENT SECURITIES

CRD#: 47788

NEW YORK, NY

Past

August 31, 2006 - April 1, 2011

MADISON PROPRIETARY TRADING GROUP, LLC

CRD#: 139818

NEW YORK, NY

Past

April 27, 2006 - August 2, 2006

G-2 TRADING,LLC

CRD#: 44018

NEW YORK, NY

Past

April 22, 2005 - August 21, 2006

CARLIN EQUITIES, LLC

CRD#: 31295

NEW YORK, NY

Past

May 2, 2001 - August 1, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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

New York
(3/25/2019)

Exams

State Security Law Exam

Series 63

Date: 5/25/2005

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/4/2001

Uniform Investment Adviser 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: 12/8/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 31

Date: 6/11/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/1/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/22/2008

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)

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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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael S. Ponzo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Salvatore Ponzo's CRS (Customer Relationship Summary).

Certified licenses

Experience

DRIVEWEALTH INSTITUTIONAL LLC

RANGE GLOBAL LLC

BETTERMENT SECURITIES

MADISON PROPRIETARY TRADING GROUP, LLC

G-2 TRADING,LLC

CARLIN EQUITIES, LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/25/2005

Series 65

Date: 6/4/2001

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 12/8/2005

Series 31

Date: 6/11/2001

Series 7

Date: 5/1/2001

Series 24

Date: 5/22/2008

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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