Jay 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.
Jay Kim was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1998. Jay had worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 10 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
February 10, 2023 - October 30, 2024
APOLLO GLOBAL SECURITIES, LLC
May 31, 2011 - February 15, 2023
CREDIT SUISSE SECURITIES (USA) LLC
June 26, 2001 - June 23, 2011
BARCLAYS CAPITAL INC.
April 10, 2000 - June 27, 2001
CITIGROUP GLOBAL MARKETS INC.
November 3, 1998 - April 10, 2000
BARCLAYS CAPITAL 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
APOLLO GLOBAL SECURITIES, LLC
CRD#: 153502 / SEC#: , 8-68542
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APOLLO MANAGEMENT HOLDINGS, L.P. | MEMBER | |
| CHATTERJEE, WHITNEY A | MEMBER BOARD OFMANAGERS | 7874808 |
| DRESCHER, STEPHANIE | HEAD OF MARKETING | 3055145 |
| LEVY, YAEL KENAN | CHIEF COMPLIANCE OFFICER | 4435788 |
| NEEDLEMAN, ERIC DAVID | PRESIDENT | 2773431 |
| TREBING, ADAM P | CFO / FINOP / PFO / POO | 5828238 |
| TREBING, ADAM P | MEMBER BOARD OF MANAGERS | 5828238 |
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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