John K. Park
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 Ki Park, who also goes by Jong Ki, John L Park, Jong Park, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 7 firms and has passed the Series 63, Series 7, Series 3, Series 6 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2001 - August 17, 2004
HANMI SECURITIES, INC.
August 19, 1999 - January 10, 2001
SUMA SECURITIES, LLC
July 21, 1999 - November 14, 2001
LIND-WALDOCK SECURITIES, INC.
June 25, 1992 - October 25, 1993
UBS FINANCIAL SERVICES INC.
February 27, 1992 - October 22, 1993
GUARDIAN INVESTOR SERVICES LLC
February 8, 1991 - November 19, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 8, 1991 - November 19, 1991
PRUCO SECURITIES, LLC.
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
HANMI SECURITIES, INC.
CRD#: 25518 / SEC#: , 8-41765
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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.
