Hee Jin Ware
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.
Hee Jin Ware, who also goes by Hee Jin Kim, Heejin Kim, Hee Jin Ware, was a registered financial professional .
Hee Jin is a previously registered financial professional and started their career in finance in 1997. Hee Jin had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2009 - November 12, 2014
VIEWTRADE SECURITIES, INC.
October 17, 2005 - November 23, 2007
VIEWTRADE SECURITIES, INC.
June 10, 2003 - December 21, 2005
VIEWTRADE FINANCIAL
December 6, 2002 - June 18, 2003
VIEWTRADE SECURITIES, INC.
February 11, 2000 - August 29, 2001
FIRST COLONIAL SECURITIES
April 11, 1997 - February 15, 2000
PRUDENTIAL EQUITY GROUP, 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
VIEWTRADE SECURITIES, INC.
CRD#: 46987 / SEC#: , 8-51605
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 1 |
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.
