Phillip P. 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.
Phillip Pum Joon Kim, who also goes by Phillip Pum Kim, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1998. Phillip had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2017 - August 8, 2018
BARCLAY INVESTMENTS LLC
May 9, 2016 - October 19, 2016
RENCAP SECURITIES, INC.
November 23, 2015 - May 2, 2016
SEAPORT GLOBAL SECURITIES LLC
April 28, 2014 - June 11, 2015
NOMURA SECURITIES INTERNATIONAL, INC.
August 20, 2003 - February 27, 2014
BARCLAYS CAPITAL INC.
October 1, 1998 - June 7, 1999
BANC OF AMERICA SECURITIES LLC
August 5, 1998 - October 1, 1998
BANCAMERICA SECURITIES, INC.
March 16, 1998 - July 17, 1998
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Current Firm
BARCLAY INVESTMENTS LLC
CRD#: 6159 / SEC#: , 8-16935
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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