John 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.
John Yong Kim, who also goes by Yong Woo Kim, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1990. John had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 6 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
January 13, 2017 - January 4, 2019
NYLIFE SECURITIES LLC
April 21, 2008 - January 9, 2019
NYLIFE DISTRIBUTORS LLC
December 16, 2004 - April 30, 2005
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
December 15, 2004 - April 30, 2005
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
December 8, 2004 - September 7, 2007
PGIM INVESTMENTS LLC
June 2, 2004 - September 7, 2007
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 11, 2004 - December 3, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
March 12, 2002 - December 13, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
February 5, 2001 - January 7, 2002
BONDBOOK, LLC
May 5, 2000 - November 17, 2000
AETNA LIFE INSURANCE AND ANNUITY COMPANY
May 3, 2000 - August 30, 2000
VOYA FINANCIAL PARTNERS, LLC
March 13, 2000 - May 2, 2000
VOYA FINANCIAL PARTNERS, LLC
March 13, 2000 - August 30, 2000
AETNA FINANCIAL SERVICES, INC.
March 29, 1996 - January 25, 2001
AELTUS CAPITAL, INC
October 13, 1995 - March 13, 1996
VOYA FINANCIAL PARTNERS, LLC
February 8, 1995 - August 1, 1996
AETNA LIFE INSURANCE AND ANNUITY COMPANY
September 6, 1990 - October 28, 1991
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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.
