Samuel Kim
Professional summary
Samuel Kim, who also goes by Seong Ung, is a registered financial professional currently at J.K. FINANCIAL SERVICES, INC. located in Norco, California.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 1992. Samuel has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Samuel Kim's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 12, 2018 - Present
J.K. FINANCIAL SERVICES, INC.
Office #1: 149 Cross Rail Lane Ste. 102, Norco, CA 92860Office #2: 1300 S Walnut St, La Habra, CA 90631January 2, 2015 - April 17, 2018
CETERA WEALTH SERVICES, LLC
January 2, 2015 - April 17, 2018
CETERA WEALTH SERVICES, LLC
January 23, 2006 - December 31, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 20, 2005 - December 31, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 3, 2002 - December 21, 2005
WORLD GROUP SECURITIES, INC.
June 6, 1994 - April 12, 2002
WMA SECURITIES, INC.
October 30, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, 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
(4/12/2018)
Exams
FINRA
Current Firm
J.K. FINANCIAL SERVICES, INC.
CRD#: 103728 / SEC#: , 8-52214
Contact information
FINRA licenses (7 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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