Jason H. 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.
Jason Hyun Kim, who also goes by Jason Kim, Sung Hyun Kim, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2001. Jason had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2017 - November 29, 2017
IMPERIAL CAPITAL, LLC
November 25, 2014 - June 26, 2017
OPPENHEIMER & CO. INC.
March 20, 2013 - November 21, 2014
COHEN & COMPANY SECURITIES, LLC
April 18, 2011 - August 6, 2012
UBS SECURITIES LLC
July 29, 2009 - April 8, 2011
COHEN & COMPANY SECURITIES, LLC
December 19, 2008 - July 28, 2009
AURIGA USA, LLC
June 25, 2008 - November 13, 2008
TERWIN CAPITAL, LLC
August 3, 2004 - February 14, 2008
DEUTSCHE BANK SECURITIES INC.
October 30, 2001 - July 16, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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