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AT

Alberto J. Troncoso

MIRAE ASSET SECURITIES (USA)
New York, NY 10019
Some features on this profile are disabled
CRD#: 4645080
AT

Professional summary

Alberto J Troncoso is a registered financial professional currently at MIRAE ASSET SECURITIES (USA) INC. located in New York, New York.

Alberto is registered as a RR (Registered Representative) and started their career in finance in 2004. Alberto has worked at 7 firms and has passed the Series 57TO, Series 99TO, Series 79TO, SIE, Series 7, Series 24 and Series 14 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

Click below to view Alberto J Troncoso'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

May 4, 2017 - Present

MIRAE ASSET SECURITIES (USA) INC.

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

March 9, 2015 - May 5, 2017

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

April 23, 2012 - March 2, 2015

XTELLUS CAPITAL PARTNERS, INC.

BD
CRD#: 156048
NEW YORK, NY
Past

January 28, 2010 - February 2, 2010

FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC

BD
CRD#: 10485
NEW YORK, NY
Past

December 1, 2009 - March 29, 2012

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
NEW YORK, NY
Past

May 3, 2005 - June 20, 2006

SWISS RE CAPITAL MARKETS CORPORATION

BD
CRD#: 39978
NEW YORK, NY
Past

May 3, 2005 - December 1, 2009

FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC

BD
CRD#: 10485
NEW YORK, NY
Past

February 26, 2004 - April 21, 2005

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/25/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/2/2006
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 6/23/2004
Compliance Officer Examination
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange 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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