Arthur D. 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.
Arthur Dae Kim, who also goes by Arthur Kim, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1994. Arthur had worked at 5 firms and has passed the Series 65, Series 63 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
December 3, 2010 - May 15, 2013
HFG HEALTHCO SECURITIES
December 23, 2009 - December 6, 2010
EQUITABLE ADVISORS, LLC
November 4, 2009 - December 6, 2010
EQUITABLE ADVISORS, LLC
February 22, 2008 - March 27, 2009
GE CAPITAL MARKETS, INC.
November 2, 2005 - November 7, 2007
FIRST CITIZENS CAPITAL SECURITIES, LLC
November 21, 1994 - January 13, 1995
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Current Firm
HFG HEALTHCO SECURITIES
CRD#: 103831 / SEC#: , 8-52320
Contact information
Documents
Red Flags
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