Stephen X. Kim
Professional summary
Stephen Xaverius Kim was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Stephen had worked at 5 firms, which includes ELECTRONIC TRADING GROUP LLC, SCHONFELD SECURITIES LLC, ADVANTAGE CAPITAL CORPORATION, RAUSCHER PIERCE REFSNES INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2003 - November 11, 2004
ELECTRONIC TRADING GROUP, LLC
February 1, 2001 - August 2, 2002
SCHONFELD SECURITIES, LLC
April 21, 1995 - October 1, 1996
ADVANTAGE CAPITAL CORPORATION
July 11, 1994 - March 31, 1995
RAUSCHER PIERCE REFSNES, INC.
January 18, 1994 - June 9, 1994
LEHMAN BROTHERS 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 55
Date: 2/13/2001
Limited Representative-Equity Trader ExamCurrent Firm
ELECTRONIC TRADING GROUP, LLC
CRD#: 37453 / SEC#: , 8-47754
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
