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KK

Kristine E. Kim

CLSA AMERICAS
New York, NY 10036
Some features on this profile are disabled
CRD#: 2885182
KK

Professional summary

Kristine Eun-young Kim, who also goes by Eun-young Kristine Kim, Kristine Kim, is a registered financial professional currently at CLSA AMERICAS, LLC located in New York, New York and CITIC SECURITIES INTERNATIONAL USA, LLC located in New York, New York.

Kristine is registered as a RR (Registered Representative) and started their career in finance in 2000. Kristine has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eun-Young Kristine Kim | Kristine Kim

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kristine Eun-young Kim's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 10, 2022 - Present

CLSA AMERICAS, LLC

Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036
RIA
BD
CRD#: 165533
New York, NY
Current

September 1, 2022 - Present

CITIC SECURITIES INTERNATIONAL USA, LLC

Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY 10036
BD
CRD#: 158266
New York, NY
Past

February 15, 2013 - October 2, 2018

CLSA AMERICAS, LLC

BD
CRD#: 165533
NEW YORK, NY
Past

August 27, 2007 - June 5, 2013

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

February 24, 2006 - July 27, 2007

KBC SECURITIES USA LLC

BD
CRD#: 46709
NEW YORK, NY
Past

May 8, 2002 - May 3, 2005

DBS VICKERS SECURITIES (USA) INC.

BD
CRD#: 35691
NEW YORK, NY
Past

May 30, 2000 - May 4, 2001

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(11/8/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/31/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/26/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

CS
CITIC SECURITIES INTERNATIONAL USA, LLC
CITIC SECURITIES INTERNATIONAL USA, LLC

CRD#: 158266 / SEC#: , 8-68887

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1155 Avenue Of The Americas 17th Floor, New York, NY 10036
Mailing Address
1155 Avenue Of The Americas 17th Floor, New York, NY 10036
Phone number
(212) 549-4791
Established
Delaware since 05/18/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CLSA AMERICAS HOLDINGS, INC.MEMBER/SHAREHOLDER
BILLET, CHRISTIAN LESLIECHIEF COMPLIANCE OFFICER2441597
HOLUB, WILLIAM CHARLESBOARD MEMBER, CHIEF FINANCIAL OFFICER - FINOP2680290
LI, JIONGBOARD MEMBER6798277
SCHWARTZ, BRADLEY HARRISCEO AND BOARD MEMBER2372237

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.

Company Information

CITIC SECURITIES INTERNATIONAL USA, LLC

CRD#: 158266New York, NY 10036

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