Hee Bum Huh
Professional summary
Hee Bum Huh, who also goes by Hee Bum Huh, Heebum Huh, Hee Bum Bum Huh, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Los Angeles, California.
Hee Bum is registered as a RR (Registered Representative) and started their career in finance in 1998. Hee Bum has worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Hee Bum Huh's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 30, 2018 - Present
NYLIFE SECURITIES LLC
Office #1: 3530 Wilshire Blvd Suite 1600, Los Angeles, CA 90010August 25, 2004 - August 21, 2013
NYLIFE SECURITIES LLC
May 20, 2003 - August 5, 2004
EQUITABLE ADVISORS, LLC
August 26, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 26, 1998 - August 5, 2004
EQUITABLE ADVISORS, 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
(4/13/2018)
Exams
FINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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.
