Henry C. 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.
Henry C Kim, who also goes by Hank Kim, Henry Chin Kim, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1997. Henry had worked at 10 firms and has passed the Series 65, Series 63, SIE, 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 6, 2019 - October 31, 2019
TD AMERITRADE, INC.
June 5, 2019 - October 31, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 4, 2019 - October 31, 2019
TD AMERITRADE, INC.
July 13, 2018 - February 1, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 28, 2016 - July 13, 2018
STRATEGIC ADVISERS LLC
January 21, 2014 - January 25, 2019
FIDELITY BROKERAGE SERVICES LLC
April 6, 2010 - April 19, 2012
AURIGA USA, LLC
March 20, 2000 - July 30, 2009
THOMAS WEISEL PARTNERS LLC
December 1, 1999 - March 9, 2000
STONE & YOUNGBERG LLC
January 11, 1999 - November 18, 1999
MESIROW FINANCIAL, INC.
February 28, 1997 - February 19, 1998
UBS SECURITIES 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
Exams
Series 55
Date: 6/3/2011
Limited Representative-Equity Trader ExamCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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