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JS

Josh E. Stein

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CRD#: 7759194
JS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Josh Evan Stein was a registered financial professional .

Josh is a previously registered financial professional and started their career in finance in 2024. Josh had worked at 1 firm and has passed the Series 79TO, Series 99TO, Series 7TO and SIE 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 22, 2024 - August 5, 2025

MIRAE ASSET SECURITIES (USA) INC.

BD
CRD#: 30679
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 79TO
Date: 7/31/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 2/14/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/20/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/25/2023
Securities Industry Essentials Examination

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#: 30679

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