Arnold W. 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.
Arnold Won Kim was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 2002. Arnold had worked at 3 firms and has passed the Series 66 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
December 9, 2008 - January 4, 2012
PGP CAPITAL ADVISORS, LLC
December 16, 2006 - September 2, 2008
EVERCORE GROUP L.L.C.
December 5, 2002 - October 27, 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
Exams
Current Firm
PGP CAPITAL ADVISORS, LLC
CRD#: 128797 / SEC#: , 8-66180
Contact information
FINRA licenses (8 States and Territories)
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.
