Jim W. Chung
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.
Jim Wookjae Chung was a registered financial professional .
Jim is a previously registered financial professional and started their career in finance in 1993. Jim had worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2014 - July 28, 2017
ANFIELD CAPITAL MANAGEMENT, LLC
November 6, 2014 - November 6, 2015
NORTHERN LIGHTS DISTRIBUTORS, LLC
February 11, 2014 - June 9, 2014
BELVEDERE ASSET MANAGEMENT, LLC
September 26, 2013 - September 19, 2014
CV BROKERAGE, INC
June 17, 2011 - December 31, 2013
BELVEDERE ASSET MANAGEMENT, LLC
January 13, 2011 - July 13, 2011
NEWPORT COAST SECURITIES, INC.
January 12, 2011 - July 13, 2011
NEWPORT COAST SECURITIES, INC.
July 2, 2007 - February 10, 2010
KBR CAPITAL MARKETS, LLC
May 25, 2006 - July 12, 2007
GCC-PROSPECT CORPORATION
May 9, 2003 - September 22, 2005
FIDELITY BROKERAGE SERVICES LLC
June 25, 2002 - April 3, 2003
TD AMERITRADE, INC.
September 27, 2000 - July 16, 2001
BNY MELLON SECURITIES CORPORATION
April 20, 1999 - September 12, 2000
VOYA INVESTMENTS DISTRIBUTOR, LLC
November 15, 1996 - July 15, 1997
SUNAMERICA SECURITIES, INC.
April 26, 1995 - April 16, 1996
PERSHING LLC
October 7, 1993 - February 17, 1994
TRIGEM AMERSTOCK CORPORATION
Primary Firm SEC Registration
ANFIELD CAPITAL MANAGEMENT, LLC
CRD#: 165211 / SEC#: 801-77714
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
ANFIELD CAPITAL MANAGEMENT, LLC
CRD#: 165211 / SEC#: 801-77714
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 710 |
| AUM (Assets Under Management) | $ 1,778,169,222 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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