Kwang H. 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.
Kwang Ho Kim, who also goes by Keith H Kim, Keith Ho Kim, Keith Kim, Kwang H Kim, was a registered financial professional .
Kwang is a previously registered financial professional and started their career in finance in 1988. Kwang had worked at 10 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2003 - October 4, 2006
FIS BROKERAGE & SECURITIES SERVICES LLC
December 22, 1997 - June 9, 1999
PROVIDENTIAL SECURITIES, INC.
February 13, 1996 - December 23, 1998
MORGAN STANLEY DW INC.
February 14, 1994 - January 30, 1996
DAEHAN SECURITIES, INC.
August 24, 1992 - February 2, 1994
HANMI SECURITIES, INC.
April 13, 1992 - September 3, 1992
R.K. STEELE
May 28, 1991 - June 21, 1991
HALPERT AND COMPANY, INC.
July 26, 1989 - September 19, 1989
SHAMROCK PARTNERS, LTD
May 13, 1989 - June 8, 1989
WALL STREET WEST, INC.
January 20, 1988 - August 25, 1988
THE STUART-JAMES COMPANY, INCORPORATED
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
Series 55
Date: 6/19/2004
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
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.
