Andrew R. Rapuzzi

MIRAE ASSET SECURITIES (USA)

New York, NY 10019

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CRD#: 4416832

Professional summary

Andrew R Rapuzzi is a registered financial professional currently at MIRAE ASSET SECURITIES (USA) INC. located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2009. Andrew has worked at 3 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

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Certified licenses

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None

Experience

Current

March 30, 2017 - Present

MIRAE ASSET SECURITIES (USA) INC.

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

CRD#: 30679

New York, NY

Past

September 15, 2011 - March 20, 2017

INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC

CRD#: 131487

NEW YORK, NY

Past

March 17, 2009 - April 27, 2010

FORTIS SECURITIES LLC

CRD#: 103714

JERSEY CITY, NJ

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
(11/22/2019)

Exams

State Security Law Exam

Series 63

Date: 11/22/2019

Uniform Securities Agent State Law Examination

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 7

Date: 3/16/2009

General Securities Representative Examination

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange 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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Andrew R. Rapuzzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew R Rapuzzi's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC

FORTIS SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/22/2019

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/16/2009

Cboe BZX Exchange, Inc.

FINRA

Investors' Exchange 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.

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