James S. Pak
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.
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 professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 7 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2011 - October 1, 2012
TRADEWEB LLC
June 20, 2008 - June 23, 2011
INSTINET, LLC
April 13, 2004 - April 7, 2008
CITIGROUP GLOBAL MARKETS INC.
May 21, 2003 - April 13, 2004
VIE SECURITIES, LLC
October 29, 2002 - September 15, 2003
VIE INSTITUTIONAL SERVICES, INC.
November 10, 1998 - April 26, 2001
LAZARD FRERES & CO. LLC
March 1, 1996 - October 28, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
TRADEWEB LLC
CRD#: 42759 / SEC#: , 8-49994
Contact information
FINRA licenses (9 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 |
| MCGUIRE, MICHAEL TERRENCE | CHIEF COMPLIANCE OFFICER | 2267871 |
| PITTINSKY, JONATHAN DAVID | CHIEF FINANCIAL OFFICER | 4291263 |
| PITTINSKY, JONATHAN DAVID | DIRECTOR OF FINANCIAL OPERATIONS, FIN-OP PRINCIPAL | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
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.
