Sang Y. Kim
Professional summary
Sang Yol Kim, who also goes by Sang Kim, Simon Kim, is a registered financial professional currently at GLOBALINK SECURITIES, INC. located in Pasadena, California.
Sang is registered as a RR (Registered Representative) and started their career in finance in 1994. Sang has worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sang Yol Kim's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2023 - Present
GLOBALINK SECURITIES, INC.
Office #1: 3452 East Foothill Boulevard Suite 1040, Pasadena, CA 91107January 2, 2020 - September 8, 2023
THE LEADERS GROUP, INC.
July 3, 2007 - April 4, 2019
SCF SECURITIES, INC.
February 21, 2007 - July 6, 2007
WORLD GROUP SECURITIES, INC.
November 3, 1998 - January 4, 2007
TOWER SQUARE SECURITIES, INC.
June 6, 1994 - November 18, 1998
WMA SECURITIES, INC.
March 1, 1994 - 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
(9/12/2023)
Exams
FINRA
Current Firm
GLOBALINK SECURITIES, INC.
CRD#: 29721 / SEC#: , 8-44509
Contact information
FINRA licenses (28 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HU, PHILIP CHENGKUO | EXECUTIVE VICE PRESIDENT | 2576527 |
| LIAO, JUNHUA | PRESIDENT /CEO, CCO, AND AMLCO | 4278425 |
| TUNG, YVONNE YI-WEN | SECRETARY | 5202974 |
| FAN, STEVEN | SVP, COMPLIANCE DIRECTOR | 4039972 |
| LIOU, SHIOU-ING DIANE | SHAREHOLDER | 4436524 |
| LU, YUANYUAN | VP, DIRECTOR OF MARKETING | 7602201 |
| SHEN, LAN | SHAREHOLDERS | 4809719 |
| TANG, YING | VP, DIRECTOR OF ACCOUNTING | 6135897 |
| THORNTON, STEVEN LEE | FINOP | 4496384 |
| WANG, ZHUOLI | VP, DIRECTOR OF OPERATION | 6296782 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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