Hae Kim
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.
Hae Kim, who also goes by Hae J Kim, Haeja Kim, was a registered financial professional .
Hae is a previously registered financial professional and started their career in finance in 1993. Hae had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 56, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2019 - September 21, 2022
T3 TRADING GROUP, LLC
October 3, 2017 - October 18, 2019
T3 TRADING GROUP, LLC
November 7, 2014 - September 7, 2017
T3 TRADING GROUP, LLC
January 31, 2012 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
April 13, 2011 - January 10, 2012
DIMENSION TRADING GROUP, LLC
February 19, 1995 - October 19, 1995
HANMI SECURITIES, INC.
January 14, 1994 - August 25, 1994
BIRCHTREE FINANCIAL SERVICES LLC
March 16, 1993 - May 3, 1994
PFS INVESTMENTS INC.
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 56
Date: 12/22/2011
Proprietary Trader Qualification ExaminationCurrent Firm
T3 TRADING GROUP, LLC
CRD#: 154431 / SEC#: , 8-68639
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| T3 COMPANIES, LLC | MEMBER/OWNER | |
| LI, XIAOYAN | PRINCIPAL FINANCIAL OFFICER | 4465893 |
| LI, XIAOYAN | PRINCIPAL OPERATIONS OFFICER | 4465893 |
| LI, XIAOYAN | FINOP | 4465893 |
| MARQUIS, GARRET CHRISTIAN | CHEIF EXECUTIVE OFFICER | 3198686 |
| PIKOWSKI, STEVEN | CHIEF COMPLIANCE OFFICER | 1562340 |
| REDLER, SCOTT JASON JR | CHIEF STRATEGIC OFFICER | 2680492 |
Disclosures
| Regulatory Event | 3 |
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.
