Eugene H. Kim

CEROS FINANCIAL SERVICES

New York, NY 10004

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CRD#: 2264940

Professional summary

Eugene Hyunwook Kim, who also goes by Gene Kim, is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in New York, New York.

Eugene is registered as a RR (Registered Representative) and started their career in finance in 1996. Eugene has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gene Kim

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.

(1) KORYO EQUINE LLC, OWNERSHIP AND TRAINING OF SHOW HORSES, MANAGING MEMBER, MOORESTOWN, NJ, 65 HRS PER MONTH, ZERO DURING TRADING HRS., INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eugene Hyunwook Kim'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 1, 2022 - Present

CEROS FINANCIAL SERVICES, INC.

Office #1: 80 Broad Street 29th Floor, New York, NY 10004

CRD#: 37869

New York, NY

Past

September 18, 2022 - September 19, 2022

INNOVATION X ADVISORS

RIA

CRD#: 322292

ROCKVILLE, MD

Past

August 25, 2015 - July 22, 2022

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

NEW YORK, NY

Past

June 9, 2015 - July 22, 2022

NATIONAL SECURITIES CORPORATION

CRD#: 7569

RED BANK, NJ

Past

July 1, 1998 - December 14, 1998

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

October 14, 1997 - July 1, 1998

ING BARING (U.S.) SECURITIES, INC.

CRD#: 5285

NEW YORK, NY

Past

December 24, 1996 - October 3, 1997

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

State Registrations and Notice Filings

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

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

New Jersey
(8/1/2022)

New York
(8/1/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/29/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/20/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 8/4/2015

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 6/9/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/29/2016

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869 / SEC#: , 8-47955

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1445 Research Boulevard Suite 530, Rockville, MD 20850

Mailing Address

1445 Research Boulevard Suite 530, Rockville, MD 20850

Phone number

(866) 842-3356

Established

Massachusetts since 09/30/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DGB HOLDINGS, LLC	OWNER
AYERS-RIGSBY, MARY CATHERINE	PRESIDENT	830349
GOLDWASSER, MARK HARRY	CEO	1334008
GREENE, JON CHRISTOPHER	ROSFP	3202524
HOLLAND, ANGELA LYNNETTE	CHIEF COMPLIANCE OFFICER	3166586
POWELL, KIM ULMAN	CHIEF FINANCIAL OFFICER	6244231
WILSON, DANIEL	AMLCO	6763074

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Eugene H. Kim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eugene Hyunwook Kim's CRS (Customer Relationship Summary).

Certified licenses

Experience

INNOVATION X ADVISORS

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

ABN AMRO SECURITIES LLC

ING BARING (U.S.) SECURITIES, INC.

UBS SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/29/2015

Series 63

Date: 1/20/1997

SIE

Date: 10/1/2018

Series 79

Date: 8/4/2015

Series 7

Date: 6/9/2015

Series 24

Date: 3/29/2016

FINRA

Nasdaq Stock Market

Current Firm

CEROS FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CEROS FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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