Song L. Kamm
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.
Song Luke Kim Kamm, who also goes by Song Lukekim Kamm, was a registered financial professional .
Song is a previously registered financial professional and started their career in finance in 1994. Song had worked at 7 firms and has passed the Series 63, Series 55 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 25, 2012 - November 12, 2012
TRADESTATION SECURITIES, INC.
January 11, 2007 - September 2, 2010
TD ARRANGED SERVICES LLC
January 1, 1998 - August 24, 1998
BOFA DISTRIBUTORS, INC.
October 10, 1997 - January 1, 1998
IFMG SECURITIES, INC.
July 10, 1996 - July 1, 1997
IDS LIFE INSURANCE COMPANY
July 10, 1996 - July 1, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
June 8, 1995 - February 20, 1996
IDS LIFE INSURANCE COMPANY
June 8, 1995 - February 20, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
September 9, 1994 - February 7, 1995
EURO-ATLANTIC SECURITIES 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: 11/13/2009
Limited Representative-Equity Trader ExamCurrent Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
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.
