Sun H. Kim
Professional summary
Sun Hyung Kim was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sun is a previously registered financial advisor and started their career in finance in 1990. Prior to being barred, Sun had worked at 8 firms, which includes KAYAN SECURITIES INC., SH INVESTMENT & SECURITIES, UBS FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC., DAEHAN SECURITIES INC., TRIGEM AMERSTOCK CORPORATION, GREAT KOREA SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2015 - April 26, 2021
KAYAN SECURITIES, INC.
November 4, 2005 - March 23, 2015
SH INVESTMENT & SECURITIES
November 8, 2000 - February 22, 2005
UBS FINANCIAL SERVICES INC.
October 27, 2000 - February 22, 2005
UBS FINANCIAL SERVICES INC.
October 17, 1997 - November 2, 2000
PRUDENTIAL EQUITY GROUP, LLC
January 24, 1996 - November 3, 1997
MORGAN STANLEY DW INC.
August 3, 1994 - April 16, 1996
DAEHAN SECURITIES, INC.
October 28, 1991 - August 18, 1994
TRIGEM AMERSTOCK CORPORATION
April 4, 1991 - October 14, 1991
DAEHAN SECURITIES, INC.
April 24, 1990 - April 3, 1991
GREAT KOREA SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
KAYAN SECURITIES, INC.
CRD#: 156175 / SEC#: , 8-68770
Contact information
FINRA licenses (3 States and Territories)
Disclosures
| Regulatory Event | 1 |
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