Duke S. Shin
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.
Duke Sangduk Shin, who also goes by Duke Sangduck Shin, was a registered financial professional .
Duke is a previously registered financial professional and started their career in finance in 1996. Duke had worked at 6 firms and has passed the Series 63, SIE, 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
December 8, 2022 - June 27, 2023
AUERBACH GRAYSON & COMPANY LLC
December 13, 2016 - January 7, 2021
SHINHAN SECURITIES AMERICA, INC.
August 23, 2011 - February 5, 2016
AUERBACH GRAYSON & COMPANY LLC
July 6, 2005 - March 3, 2006
KBFG SECURITIES AMERICA INC.
August 2, 2004 - July 1, 2005
MIRAE ASSET SECURITIES (USA) INC.
April 20, 2001 - March 31, 2004
KOREA INVESTMENT & SECURITIES AMERICA, INC.
November 6, 1996 - March 17, 1998
HSBC SECURITIES (USA) INC.
State Registrations and Notice Filings
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Exams
Current Firm
AUERBACH GRAYSON & COMPANY LLC
CRD#: 30761 / SEC#: , 8-45136
Contact information
FINRA licenses (13 States and Territories)
Documents
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.
