Ju 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.
Ju Hyun Kim was a registered financial professional .
Ju is a previously registered financial professional and started their career in finance in 1996. Ju had worked at 5 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
August 7, 2017 - July 31, 2023
NH INVESTMENT & SECURITIES AMERICA, INC.
November 5, 2012 - July 31, 2017
SAMSUNG SECURITIES (AMERICA), INC.
April 4, 2002 - October 15, 2012
KOREA INVESTMENT & SECURITIES AMERICA, INC.
July 17, 2000 - October 22, 2001
MIRAE ASSET SECURITIES (USA) INC.
March 20, 1996 - August 15, 1996
I/B/E/S 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
Current Firm
NH INVESTMENT & SECURITIES AMERICA, INC.
CRD#: 30660 / SEC#: , 8-45081
Contact information
FINRA licenses (7 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
