Richard 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.
Richard Kim was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 10 firms and has passed the Series 63 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
April 14, 2009 - November 23, 2011
VANGUARD CAPITAL
January 13, 2006 - April 23, 2009
NEXT FINANCIAL GROUP, INC.
October 23, 2002 - January 31, 2006
MAXIM GROUP LLC
February 21, 2001 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
April 5, 1999 - February 21, 2001
HD BROUS & CO., INC.
July 2, 1998 - March 16, 1999
PACIFIC CONTINENTAL SECURITIES CORPORATION
January 26, 1998 - June 26, 1998
THE CAMELOT GROUP, INC.
November 28, 1997 - February 25, 1998
DANALLEN INVESTMENT GROUP INC.
June 30, 1997 - November 13, 1997
MORGAN GRANT CAPITAL CORP.
June 10, 1996 - July 15, 1997
INVESTORS ASSOCIATES, 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
VANGUARD CAPITAL
CRD#: 22081 / SEC#: 801-71971, 8-39450
Contact information
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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