Yoon S. Pak
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.
Yoon Song Pak, who also goes by Richard Pak, Yoon Richard Song Pak, was a registered financial professional .
Yoon is a previously registered financial professional and started their career in finance in 1996. Yoon had worked at 3 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 3, Series 7, Series 14 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
February 14, 2005 - January 4, 2022
SHINHAN SECURITIES AMERICA, INC.
August 12, 2003 - January 4, 2006
KBFG SECURITIES AMERICA INC.
November 14, 2001 - July 22, 2003
SAMSUNG SECURITIES (AMERICA), INC.
March 11, 1996 - November 2, 2001
KBFG SECURITIES AMERICA INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SHINHAN SECURITIES AMERICA, INC.
CRD#: 31977 / SEC#: , 8-45648
Contact information
FINRA licenses (5 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
