James Sung Shik Pak
Professional Summary
James Sung Shik Pak, who also goes by James S Pak, James S. Pak, James Sh Pak, James Sungshik Pak, Jim I Pak, Jim Sungshik Pak, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1996 - 2012. James had worked at 7 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James S Pak, James S. Pak, James Sh Pak, James Sungshik Pak, Jim I Pak, Jim Sungshik Pak
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
TRADEWEB | TRADEWEB LLC | TRADEWEB L.L.C
Contact Information
Main Address
245 Park Avenue, New York, NY 10167Mailing Address
245 Park Avenue, New York, NY 10167Phone Number
(646) 430-6000Established
Delaware since 01/27/1997Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (9 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADEWEB GLOBAL LLC | OWNER | — |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| FRIEDMAN, DOUGLAS L. | GENERAL COUNSEL | 5121291 |
| KAHNEY, DOUGLAS RYAN | CHIEF COMPLIANCE OFFICER | 4903813 |
| PITTINSKY, JONATHAN DAVID | DIRECTOR OF FINANCIAL OPERATIONS, FIN-OP PRINCIPAL | 4291263 |
| PITTINSKY, JONATHAN DAVID | CHIEF FINANCIAL OFFICER | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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