MIRAE ASSET SECURITIES (USA) INC. — 13F Holdings & Portfolio
CIK 890203 · latest 13F-HR filed 2026-10-15
MIRAE ASSET SECURITIES (USA) INC. manages $3.57B in 13F-reported U.S. long-equity assets across 108 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are SPY (11.87%), QQQ (6.66%), SPY (6.40%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 26 new positions and exited 39; 20 existing positions rose in reported value and 10 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
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AUM
$3.57B
Long-equity book
Holdings
108
Distinct positions
Period
2026-09-30
Filed 2026-10-15
Q/Q Activity
+26 / −39 / ↑20 / ↓10
vs 2026-06-30
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q3 26SPY18.6% · -34%QQQ10.4% · -20%IWM9.6% · +9%XOP5.1% · newXRT4.7% · 0%XLI4.1% · +57%META3.2% · +100%GOOGL3.0% · +59%NVDA2.8% · +6%XHB2.5% · +20%EWY2.4% · 0%TSLA2.3% · +199%GOOG2.2% · +42%MDY2.2% · +55%SMH2.0% · -50%GDX1.9% · +398%PLTR1.9% · -0%XBI1.7% · +151%XLV1.5% · newQCOM1.3% · +10%XLP1.2% · 0%ORCL0.9% · +199%CVX0.9% · newXLK0.9% · newGLD0.8% · newAMD0.8% · +0%TRV0.8% · -50%LRCX0.7% · newAXP0.7% · newUSO0.6% · -33%HD0.6% · +100%FXI0.6% · newJNJ0.6% · +100%MSFT0.6% · -80%AMZN0.5% · -60%BRK.B0.5% · -0%PEP0.5% · newNFLX0.5% · newWMT0.5% · +33%AVGO0.4% · -0%TMUS0.4% · newPYPL0.3% · +20%COP0.3% · -0%BMNR0.2% · newEQT0.2% · +100%EWZ0.2% · newDG0.1% · newOVV0.1% · newCLMT0.1% · newAXTX0.1% · newNOG0.1% · newPM0.1% · 0%IYR0.1% · newAMDL0.1% · newJETS0.1% · newCBRX0.0% · newCEGX0.0% · newCOHX0.0% · newWULX0.0% · newSKUU0.0% · new
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q2 26 → Q3 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
4 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 64.1%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated May 6, 2026.
Assets Under Management
$5.83B
Discretionary
$5.82B
Employees
25
Accounts
45
Address
1212 AVENUE OF THE AMERICAS
10TH FLOOR
NEW YORK, NY 10036
10TH FLOOR
NEW YORK, NY 10036
Phone
(212) 205-8300
Website
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| HEO, JOON HYUK Control | CO-CHIEF EXECUTIVE OFFICER since Dec 2022 | Less than 5% | Individual |
| HEO, JOON HYUK Control | CHIEF COMPLIANCE OFFICER since Jul 2025 | Less than 5% | Individual |
| MIRAE ASSET GLOBAL INVESTMENTS (USA) INC. Control | MEMBER since Apr 2008 | 75% or more | Domestic Entity |
| PARK, THOMAS, JEFFERSON Control | CO-CHIEF EXECUTIVE OFFICER since Dec 2022 | Less than 5% | Individual |
| Wong, Stephen Control | HEAD OF FINANCE since Jan 2018 | Less than 5% | Individual |
| MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED Control Indirect owner via MIRAE ASSET GLOBAL INVESTMENTS (USA) INC. | SHAREHOLDER since Apr 2008 | 25–50% | Foreign Entity |
| MIRAE ASSET GLOBAL INVESTMENTS CO., LTD. Control Indirect owner via MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED | SHAREHOLDER since Mar 2011 | 75% or more | Foreign Entity |
| MIRAE ASSET GLOBAL INVESTMENTS CO., LTD. Control Indirect owner via MIRAE ASSET GLOBAL INVESTMENTS (USA) INC. | SHAREHOLDER since Mar 2011 | 50–75% | Foreign Entity |
| PARK, HYEON JOO Control Indirect owner via MIRAE ASSET GLOBAL INVESTMENTS CO., LTD. | SHAREHOLDER since Jan 2006 | 75% or more | Individual |
Ownership & leadership changes · 16 filings with changes since Mar 30, 2012
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Jul 11, 2025 filing
- No longer listedAPONTE, ARMAND · HEAD OF LEGAL/ CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Feb 2023
- ChangedHEO, JOON HYUK · title CO-CHIEF EXECUTIVE OFFICER → CHIEF COMPLIANCE OFFICER / CO-CHIEF EXECUTIVE OFFICER
Feb 13, 2023 filing
- AddedAPONTE, ARMAND · HEAD OF LEGAL/ CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- AddedWong, Stephen · HEAD OF FINANCE · Less than 5% · control person
- ChangedHEO, JOON HYUK · title CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER → CO-CHIEF EXECUTIVE OFFICER
- ChangedPARK, THOMAS, JEFFERSON · title PRESIDENT → CO-CHIEF EXECUTIVE OFFICER
Mar 17, 2022 filing
- No longer listedCALABRIA, THOMAS, NICHOLAS · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since May 2014
- ChangedHEO, JOON HYUK · title CHIEF EXECUTIVE OFFICER → CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER
Apr 19, 2021 filing
- AddedPARK, THOMAS, JEFFERSON · PRESIDENT · Less than 5% · control person
Mar 31, 2021 filing
- No longer listedSHEA, ROBERT, EARL · CHIEF MARKETING OFFICER · Less than 5% · control person · listed since Jan 2018
Mar 30, 2020 filing
- No longer listedLEE, TUCK CHUNG · CHIEF EXECUTIVE OFFICER · Less than 5% · control person · listed since Aug 2016
- AddedHEO, JOON HYUK · CHIEF EXECUTIVE OFFICER · Less than 5% · control person
Mar 29, 2018 filing
- ChangedMIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED · indirect via MIRAE ASSET GLOBAL INVESTMENTS (USA) INC.: ownership 75% or more → 25–50%
- ChangedSHEA, ROBERT, EARL · title CHIEF OPERATING OFFICER → CHIEF MARKETING OFFICER
Mar 28, 2017 filing
- No longer listedMIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED · SHAREHOLDER · 75% or more · indirect via MIRAE ASSET GLOBAL INVESTMENTS (USA) INC. · control person · listed since Apr 2008
- AddedMIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED · SHAREHOLDER · 75% or more · indirect via MIRAE ASSET GLOBAL INVESTMENTS (USA) INC. · control person
Aug 22, 2016 filing
- No longer listedGRAHAM, PETER, PAUL · CHIEF EXECUTIVE OFFICER · Less than 5% · control person · listed since Mar 2013
- AddedLEE, TUCK CHUNG · CHIEF EXECUTIVE OFFICER · Less than 5% · control person
Mar 28, 2016 filing
- No longer listedMORALES, JOSE, GERARDO · CHIEF INVESTMENT OFFICER · Less than 5% · control person · listed since Feb 2010
Older changes (7 more filings)
Mar 27, 2015 filing
- No longer listedMIRAE ASSET GLOBAL INVESTMENTS CO., LTD. · SHAREHOLDER · 75% or more · indirect via MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED/ MIRAE ASSET GLOBAL INVESTMENTS (USA) INC. · control person · listed since Mar 2011
- AddedMIRAE ASSET GLOBAL INVESTMENTS CO., LTD. · SHAREHOLDER · 75% or more · indirect via MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED · control person
- AddedMIRAE ASSET GLOBAL INVESTMENTS CO., LTD. · SHAREHOLDER · 50–75% · indirect via MIRAE ASSET GLOBAL INVESTMENTS (USA) INC. · control person
May 27, 2014 filing
- AddedCALABRIA, THOMAS, NICHOLAS · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ChangedSHEA, ROBERT, EARL · title CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER → CHIEF OPERATING OFFICER
Mar 19, 2014 filing
- No longer listedNATHANSON, ANDREW · LEGAL COUNSEL & CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Jan 2013
- ChangedSHEA, ROBERT, EARL · title CHIEF OPERATING OFFICER → CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER
Mar 28, 2013 filing
- No longer listedKWUN, JOON · PRESIDENT & CEO · Less than 5% · control person · listed since Aug 2011
- AddedGRAHAM, PETER, PAUL · CHIEF EXECUTIVE OFFICER · Less than 5% · control person
- ChangedSHEA, ROBERT, EARL · title HEAD OF FINANCE AND OPERATIONS → CHIEF OPERATING OFFICER
Jan 22, 2013 filing
- No longer listedLAPRETA, JOYCE, MARIE · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Aug 2008
- AddedNATHANSON, ANDREW · LEGAL COUNSEL & CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Jul 26, 2012 filing
- No longer listedPARK, HYEON JOO · SHAREHOLDER · 75% or more · indirect via MIRAE ASSET MAPS INVESTMENTS CO., LTD. · control person · listed since Jan 2006
- AddedPARK, HYEON JOO · SHAREHOLDER · 75% or more · indirect via MIRAE ASSET GLOBAL INVESTMENTS CO., LTD. · control person
Mar 30, 2012 filing (earliest on record)
- ListedKWUN, JOON · PRESIDENT & CEO · Less than 5% · control person
- ListedLAPRETA, JOYCE, MARIE · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ListedMIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED · SHAREHOLDER · 75% or more · indirect via MIRAE ASSET GLOBAL INVESTMENTS (USA) INC. · control person
- ListedMIRAE ASSET GLOBAL INVESTMENTS (USA) INC. · MEMBER · 75% or more · control person
- ListedMIRAE ASSET GLOBAL INVESTMENTS CO., LTD. · SHAREHOLDER · 75% or more · indirect via MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED/ MIRAE ASSET GLOBAL INVESTMENTS (USA) INC. · control person
- ListedMORALES, JOSE, GERARDO · CHIEF INVESTMENT OFFICER · Less than 5% · control person
- ListedPARK, HYEON JOO · SHAREHOLDER · 75% or more · indirect via MIRAE ASSET MAPS INVESTMENTS CO., LTD. · control person
- ListedSHEA, ROBERT, EARL · HEAD OF FINANCE AND OPERATIONS · Less than 5% · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- META PLATFORMS INC$44.5M +157.3%
- VANECK ETF TRUST$36.5M +479.2%
- TESLA INC$32.2M +152.5%
- SELECT SECTOR SPDR TR$27.2M +41.6%
- ALPHABET INC$24.0M +53.4%
Top Trims
- STATE STR SPDR S&P 500 ETF T-$209.2M -33.0%
- INVESCO QQQ TR-$58.3M -19.7%
- VANECK ETF TRUST-$52.9M -53.6%
- MICROSOFT CORP-$34.1M -72.6%
- AMAZON COM INC-$17.5M -58.4%
New Positions
- SPDR SERIES TRUST$116.6M
- SELECT SECTOR SPDR TR$33.8M
- CHEVRON CORPORATION$20.5M
- SELECT SECTOR SPDR TR$19.7M
- SPDR GOLD TR$19.1M
Exited Positions
- CATERPILLAR INC$17.1M
- APPLE INC$14.6M
- GOLDMAN SACHS GROUP INC$12.7M
- MICRON TECHNOLOGY INC$11.6M
- RTX CORPORATION$9.5M
MIRAE ASSET SECURITIES (USA) INC. Holdings (2026-09-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $424.2M | 11.87% | 556,248 | SH |
| 2 | INVESCO QQQ TR | QQQ | 46090E103 | $237.9M | 6.66% | 321,579 | SH |
| 3 | STATE STR SPDR S&P 500 ETF T Put | SPY | 78462F103 | $228.8M | 6.40% | 300,000 | SH |
| 4 | ISHARES TR | IWM | 464287655 | $219.2M | 6.14% | 788,774 | SH |
| 5 | SPDR SERIES TRUST | XOP | 78468R556 | $116.6M | 3.26% | 650,000 | SH |
| 6 | SELECT SECTOR SPDR TR Put | XLI | 81369Y704 | $108.5M | 3.04% | 650,000 | SH |
| 7 | SPDR SERIES TRUST | XRT | 78464A714 | $106.8M | 2.99% | 1,300,000 | SH |
| 8 | SELECT SECTOR SPDR TR | XLI | 81369Y704 | $92.4M | 2.59% | 553,458 | SH |
| 9 | META PLATFORMS INC | META | 30303M102 | $72.8M | 2.04% | 100,429 | SH |
| 10 | META PLATFORMS INC Put | META | 30303M102 | $72.5M | 2.03% | 100,000 | SH |
| 11 | ALPHABET INC | GOOGL | 02079K305 | $68.9M | 1.93% | 200,322 | SH |
| 12 | ALPHABET INC Put | GOOGL | 02079K305 | $68.8M | 1.93% | 200,000 | SH |
| 13 | NVIDIA CORPORATION | NVDA | 67066G104 | $63.0M | 1.76% | 275,699 | SH |
| 14 | NVIDIA CORPORATION Put | NVDA | 67066G104 | $62.8M | 1.76% | 275,000 | SH |
| 15 | SPDR SERIES TRUST | XHB | 78464A888 | $57.7M | 1.61% | 600,487 | SH |
| 16 | ISHARES INC | EWY | 464286772 | $54.9M | 1.54% | 300,622 | SH |
| 17 | ISHARES INC Put | EWY | 464286772 | $54.8M | 1.53% | 300,000 | SH |
| 18 | TESLA INC | TSLA | 88160R101 | $53.4M | 1.49% | 150,389 | SH |
| 19 | TESLA INC Put | TSLA | 88160R101 | $53.2M | 1.49% | 150,000 | SH |
| 20 | ALPHABET INC | GOOG | 02079K107 | $51.2M | 1.43% | 150,322 | SH |
| 21 | ALPHABET INC Put | GOOG | 02079K107 | $51.1M | 1.43% | 150,000 | SH |
| 22 | STATE STR SPDR S&P MIDCAP 40 | MDY | 78467Y107 | $51.0M | 1.43% | 77,729 | SH |
| 23 | VANECK ETF TRUST | SMH | 92189F676 | $45.8M | 1.28% | 75,148 | SH |
| 24 | VANECK ETF TRUST Put | SMH | 92189F676 | $45.7M | 1.28% | 75,000 | SH |
| 25 | VANECK ETF TRUST | GDX | 92189F106 | $44.1M | 1.24% | 502,573 | SH |
| 26 | VANECK ETF TRUST Put | GDX | 92189F106 | $43.9M | 1.23% | 500,000 | SH |
| 27 | PALANTIR TECHNOLOGIES INC | PLTR | 69608A108 | $42.1M | 1.18% | 225,322 | SH |
| 28 | PALANTIR TECHNOLOGIES INC Put | PLTR | 69608A108 | $42.1M | 1.18% | 225,000 | SH |
| 29 | SPDR SERIES TRUST | XBI | 78464A870 | $39.5M | 1.11% | 250,674 | SH |
| 30 | INVESCO QQQ TR Put | QQQ | 46090E103 | $37.0M | 1.04% | 50,000 | SH |
| 31 | SELECT SECTOR SPDR TR | XLV | 81369Y209 | $33.8M | 0.95% | 200,852 | SH |
| 32 | QUALCOMM INC | QCOM | 747525103 | $30.4M | 0.85% | 165,162 | SH |
| 33 | QUALCOMM INC Put | QCOM | 747525103 | $30.4M | 0.85% | 165,000 | SH |
| 34 | SELECT SECTOR SPDR TR | XLP | 81369Y308 | $28.2M | 0.79% | 350,000 | SH |
| 35 | SPDR SERIES TRUST Put | XBI | 78464A870 | $23.7M | 0.66% | 150,000 | SH |
| 36 | ORACLE CORP | ORCL | 68389X105 | $20.6M | 0.58% | 150,156 | SH |
| 37 | ORACLE CORP Put | ORCL | 68389X105 | $20.6M | 0.58% | 150,000 | SH |
| 38 | CHEVRON CORPORATION | CVX | 166764100 | $20.5M | 0.57% | 100,177 | SH |
| 39 | CHEVRON CORPORATION Put | CVX | 166764100 | $20.4M | 0.57% | 100,000 | SH |
| 40 | SELECT SECTOR SPDR TR | XLK | 81369Y803 | $19.7M | 0.55% | 100,636 | SH |
| 41 | SELECT SECTOR SPDR TR Put | XLK | 81369Y803 | $19.6M | 0.55% | 100,000 | SH |
| 42 | SPDR GOLD TR | GLD | 78463V107 | $19.1M | 0.53% | 50,099 | SH |
| 43 | SPDR GOLD TR Put | GLD | 78463V107 | $19.0M | 0.53% | 50,000 | SH |
| 44 | ADVANCED MICRO DEVICES INC | AMD | 007903107 | $18.5M | 0.52% | 30,196 | SH |
| 45 | ADVANCED MICRO DEVICES INC Put | AMD | 007903107 | $18.4M | 0.51% | 30,000 | SH |
| 46 | TRAVELERS COMPANIES INC | TRV | 89417E109 | $17.9M | 0.50% | 50,108 | SH |
| 47 | TRAVELERS COMPANIES INC Put | TRV | 89417E109 | $17.8M | 0.50% | 50,000 | SH |
| 48 | SELECT SECTOR SPDR TR Put | XLV | 81369Y209 | $16.8M | 0.47% | 100,000 | SH |
| 49 | LAM RESEARCH CORP | LRCX | 512807306 | $16.5M | 0.46% | 50,109 | SH |
| 50 | LAM RESEARCH CORP Put | LRCX | 512807306 | $16.4M | 0.46% | 50,000 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-09-30 | 2026-10-15 | $3.57B | 108 | 0000890203-26-000019 |
| 2026-06-30 | 2026-08-05 | $3.58B | 127 | 0000890203-26-000015 |
| 2026-03-31 | 2026-04-29 | $2.72B | 153 | 0000890203-26-000011 |
| 2025-12-31 | 2026-02-11 | $3.63B | 184 | 0000890203-26-000003 |
Filer Information
Address
810 SEVENTH AVENUE37TH FLOOR
NEW YORK, NY 10019
Phone
(646) 968-2052
Filing Manager
MIRAE ASSET SECURITIES (USA) INC.
NEW YORK, NY
Signatory
Daniel Hanuka
Chief Financial Officer