Peter P. 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.
Peter Paul Kim was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1988. Peter had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 1993 - June 28, 1995
TOLUCA PACIFIC SECURITIES CORP.
December 12, 1991 - August 28, 1993
GLOBAL CAPITAL SECURITIES CORPORATION
November 24, 1990 - December 11, 1991
CHATFIELD DEAN & CO., INC.
February 23, 1988 - November 30, 1990
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
Current Firm
TOLUCA PACIFIC SECURITIES CORP.
CRD#: 13875 / SEC#: , 8-29814
Contact information
Documents
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.
