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SH

Steve S. Han

KAYAN SECURITIES
Los Angeles, CA 90010-3917
Some features on this profile are disabled
CRD#: 2155400
SH

Professional summary

Steve Sungin Han, who also goes by Steve S Han, Sung In Han, is a registered financial professional currently at KAYAN SECURITIES, INC. located in Los Angeles, California.

Steve is registered as a RR (Registered Representative) and started their career in finance in 1991. Steve has worked at 14 firms and has passed the Series 65, Series 63, Series 62, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve S Han | Sung In Han

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steve Sungin Han's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 16, 2019 - Present

KAYAN SECURITIES, INC.

Office #1: 3470 Wilshire Blvd, # 626, Los Angeles, CA 90010-3917
BD
CRD#: 156175
Los Angeles, CA
Past

December 19, 2016 - October 16, 2017

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
LOS ANGELES, CA
Past

June 3, 2013 - April 6, 2015

SH INVESTMENT & SECURITIES

BD
CRD#: 123074
LOS ANGELES, CA
Past

January 10, 2012 - October 22, 2012

FORTUNE SECURITIES, INC.

BD
CRD#: 40821
ALHAMBRA, CA
Past

July 8, 2011 - October 11, 2011

MAIA SECURITIES, INC.

BD
CRD#: 111394
YORBA LINDA, CA
Past

August 26, 2009 - March 9, 2010

GLOBALINK SECURITIES, INC.

BD
CRD#: 29721
PASADENA, CA
Past

June 21, 2007 - July 9, 2009

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
LAPALMA, CA
Past

February 3, 2006 - June 29, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
LOS ANGELES, CA
Past

February 3, 2006 - June 29, 2007

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
LOS ANGELES, CA
Past

January 12, 2005 - December 7, 2005

TOWER SQUARE SECURITIES, INC.

RIA
CRD#: 833
LOS ANGELES, CA
Past

November 9, 2004 - December 31, 2004

TOWER SQUARE SECURITIES, INC.

RIA
CRD#: 833
LOS ANGELES, CA
Past

November 9, 2004 - December 7, 2005

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

March 4, 2002 - November 18, 2004

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

February 9, 2001 - April 5, 2002

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

January 28, 2000 - December 7, 2000

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

October 14, 1991 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

October 14, 1991 - January 10, 2000

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/16/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/20/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/17/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/16/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/19/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/11/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/17/1998
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KS
KAYAN SECURITIES, INC.
KAYAN SECURITIES, INC.

CRD#: 156175 / SEC#: , 8-68770

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
3470 Wilshire Blvd, # 626, Los Angeles, CA 90010-3917
Mailing Address
3470 Wilshire Blvd, # 626, Los Angeles, CA 90010-3917
Phone number
(213) 739-0998
Established
California since 07/22/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KIM, YONG SOOCEO, PRESIDENT, CFO, CO-CCO, FINOP, DIRECTOR1747849
KIM, JAEHWANPRESIDENT, CO-CCO2544922

Disclosures

Regulatory Event1

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.

Company Information

KAYAN SECURITIES, INC.

CRD#: 156175Los Angeles, CA 90010-3917

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