Joon Khim
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.
Joon Khim was a registered financial professional .
Joon is a previously registered financial professional and started their career in finance in 1997. Joon had worked at 5 firms and has passed the Series 63, SIE 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
June 20, 2011 - July 22, 2025
SUN'S BROTHERS SECURITIES INC.
April 21, 2004 - August 10, 2007
SUN'S BROTHERS SECURITIES INC.
January 14, 2002 - October 3, 2002
WALL STREET FINANCIAL GROUP, INC.
June 27, 1997 - March 8, 2001
METROPOLITAN LIFE INSURANCE COMPANY
June 27, 1997 - March 8, 2001
MSI FINANCIAL SERVICES, INC.
January 20, 1997 - May 28, 1997
ASHTON THOMAS SECURITIES, LLC
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
SUN'S BROTHERS SECURITIES INC.
CRD#: 123531 / SEC#: , 8-65595
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
