Sue L. 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.
Sue Lee Kim, who also goes by Soo Hyun Lee, Sue Hyun Lee, was a registered financial professional .
Sue is a previously registered financial professional and started their career in finance in 1998. Sue had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 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
October 1, 2012 - June 13, 2016
J.P. MORGAN SECURITIES LLC
October 1, 2012 - June 13, 2016
J.P. MORGAN SECURITIES LLC
May 7, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 4, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 9, 2010 - April 2, 2012
BANCWEST INVESTMENT SERVICES, INC.
November 8, 2010 - April 2, 2012
BANCWEST INVESTMENT SERVICES, INC.
July 14, 2010 - November 12, 2010
CHARLES SCHWAB & CO., INC.
July 8, 2010 - November 12, 2010
CHARLES SCHWAB & CO., INC.
January 25, 2008 - January 22, 2009
BANCWEST INVESTMENT SERVICES, INC.
January 25, 2008 - January 22, 2009
BANCWEST INVESTMENT SERVICES, INC.
October 19, 2007 - January 23, 2008
WAMU INVESTMENTS, INC.
October 18, 2007 - January 23, 2008
WAMU INVESTMENTS, INC.
February 16, 2006 - October 17, 2007
WELLS FARGO INVESTMENTS, LLC
February 16, 2006 - October 17, 2007
WELLS FARGO INVESTMENTS, LLC
April 16, 2003 - July 19, 2004
BANCWEST INVESTMENT SERVICES, INC.
April 9, 2003 - January 26, 2006
BANCWEST INVESTMENT SERVICES, INC.
February 21, 2003 - April 9, 2003
CITICORP INVESTMENT SERVICES
February 21, 2003 - April 9, 2003
CITICORP INVESTMENT SERVICES
March 26, 2002 - January 31, 2003
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
May 1, 2000 - December 17, 2001
CHARLES SCHWAB & CO., INC.
August 12, 1998 - May 8, 2000
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
