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Aleksandra A. Drozen

MIRAE ASSET SECURITIES (USA)
New York, NY 10019
Some features on this profile are disabled
CRD#: 5038521
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Professional summary

Aleksandra Anna Drozen, who also goes by Aleks Drozen, Aleksandra Anna Drozen, Aleksandra Anna Myers, is a registered financial professional currently at MIRAE ASSET SECURITIES (USA) INC. located in New York, New York.

Aleksandra is registered as a RR (Registered Representative) and started their career in finance in 2007. Aleksandra has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Aleks Drozen | Aleksandra Anna Drozen | Aleksandra Anna Myers

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 Aleksandra Anna Drozen'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 24, 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

December 10, 2019 - January 14, 2021

BTIG, LLC

BD
CRD#: 122225
New York, NY
Past

February 13, 2019 - June 17, 2019

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
JERSEY CITY, NJ
Past

June 19, 2015 - October 11, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SHORT HILLS, NJ
Past

March 9, 2011 - November 8, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

March 9, 2011 - June 10, 2015

VIRTU AMERICAS LLC

BD
CRD#: 149823
JERSEY CITY, NJ
Past

November 8, 2007 - March 9, 2011

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

July 11, 2007 - October 26, 2007

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
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

State Security Law Exam
RR
Series 63
Date: 7/27/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/11/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/27/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/10/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/28/2008
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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