Annee Y. Kim
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.
Annee Yunkyung Kim, who also goes by Kim Agnes, Agnes Kim, Annee Y Kim, was a registered financial professional .
Annee is a previously registered financial professional and started their career in finance in 1986. Annee had worked at 9 firms and has passed the Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2020 - March 1, 2021
KATAMA SECURITIES LLC
April 30, 2019 - May 29, 2020
MARCO POLO SECURITIES INC.
June 21, 2012 - November 1, 2013
DU PASQUIER & CO., INC.
May 31, 2001 - August 5, 2003
THE DELAWARE BAY COMPANY, INC.
June 16, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
June 16, 1993 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
June 16, 1993 - March 11, 1996
LEHMAN BROTHERS INC.
June 28, 1991 - June 24, 1993
NEW YORK CAPITAL MARKETS INC.
March 23, 1987 - April 20, 1990
GLICKENHAUS & CO.
September 16, 1986 - April 14, 1987
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KATAMA SECURITIES LLC
CRD#: 124667 / SEC#: , 8-65708
Contact information
FINRA licenses (7 States and Territories)
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.
