Raymond G. 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.
Raymond Gerald Kim was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1994. Raymond had worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 3, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2021 - July 6, 2023
KBFG SECURITIES AMERICA INC.
June 23, 2008 - April 1, 2021
MIRAE ASSET SECURITIES (USA) INC.
January 9, 2006 - June 18, 2008
MDB CAPITAL
April 25, 2001 - November 5, 2004
DEUTSCHE BANK SECURITIES INC.
September 1, 2000 - July 17, 2001
DEALCOMPOSER INC.
January 1, 1996 - March 16, 1999
HSBC SECURITIES (USA) INC.
January 31, 1995 - January 1, 1996
JAMES CAPEL INCORPORATED
January 1, 1994 - September 21, 1994
KIDDER, PEABODY & CO. INCORPORATED
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
KBFG SECURITIES AMERICA INC.
CRD#: 39356 / SEC#: , 8-48651
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
