Tony S. Paik
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.
Tony Seokoo Paik, who also goes by Seok Koo Paik, was a registered financial advisor .
Tony is a previously registered financial advisor and started their career in finance in 1998. Tony had worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2006 - December 20, 2006
QUESTAR CAPITAL CORPORATION
November 2, 2005 - March 2, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 3, 2005 - March 2, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 16, 2003 - September 23, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
December 16, 2003 - September 23, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
October 16, 2003 - December 16, 2003
BB&T INVESTMENT SERVICES, INC.
October 16, 2003 - December 16, 2003
BB&T INVESTMENT SERVICES, INC.
September 3, 2003 - October 16, 2003
UVEST FINANCIAL SERVICES GROUP, INC.
September 19, 2001 - October 16, 2003
UVEST FINANCIAL SERVICES GROUP, INC.
June 14, 2000 - October 5, 2001
NATHAN & LEWIS SECURITIES, INC.
September 24, 1999 - June 14, 2000
GUARANTY BROKERAGE SERVICES, INC.
March 19, 1998 - September 24, 1999
NYLIFE 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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
