FacultyFaculty/Author Profile
Thomas  Calabria

Thomas Calabria

Mirae Asset Global Investments (USA) LLC
Chief Compliance Officer
New York, NY, USA

Thomas Calabria is the Chief Compliance officer at Mirae Asset Global Investments (USA) LLC and Horizons ETFs Management (USA) LLC in New York, each part of Seoul-based Mirae Asset Global Investments Co., Ltd., one of the world's largest emerging market equity investment managers.  He focuses on adviser regulatory matters, including those related to investment companies.  Previously, he was Chief Compliance Officer of Burnham Asset Management and Burnham Investors Trust, where he managed and oversaw the investment advisory and investment company compliance programs and assisted with the affiliated broker-dealer’s regulatory matters.

He started his investment industry career in a regulatory administration function, serving various types of investment company clients.  Tom has a JD from the Dickinson School of Law and a BA from Dickinson College (Carlisle, PA).   He holds Series 7 and 63 licenses.

  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2019 Practising Law Institute. Continuing Legal Education since 1933.

© 2019 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.