Kaimon B. Chung
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.
Kaimon Bryan Chung, who also goes by Kai Chung, was a registered financial professional .
Kaimon is a previously registered financial professional and started their career in finance in 1999. Kaimon had worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 86, Series 87, Series 55, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2015 - August 11, 2025
EVERCORE GROUP L.L.C.
October 1, 2013 - December 31, 2015
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
August 15, 2011 - August 28, 2013
NOMURA SECURITIES INTERNATIONAL, INC.
January 14, 2008 - August 8, 2011
OPPENHEIMER & CO. INC.
June 11, 2007 - January 14, 2008
CIBC WORLD MARKETS CORP.
September 15, 2006 - October 6, 2006
MORGAN STANLEY DISTRIBUTION, INC.
August 12, 1999 - October 6, 2006
MORGAN STANLEY DW 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/30/2002
Limited Representative-Equity Trader ExamCurrent Firm
EVERCORE GROUP L.L.C.
CRD#: 42405 / SEC#: , 8-49830
Contact information
FINRA licenses (37 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVERCORE BD INVESTCO L.L.C. | MANAGING MEMBER | |
| BRYSON, NANCY CLAIRE | CHIEF OPERATING OFFICER | 1978165 |
| CROWE, JOHN CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2494752 |
| FUND, LISA K | PRINCIPAL OPERATIONS OFFICER | 5008055 |
| LALONDE, TIMOTHY GILBERT | CHIEF FINANCIAL OFFICER | 2270483 |
| MARTINEZ, MICHAEL | CHIEF OPERATING OFFICER - EVERCORE ISI | 5100611 |
| MASOTTI, KENNETH ALFRED | CHIEF LEGAL OFFICER | 4436810 |
| MYERS, JENNA | PRINCIPAL OPERATIONS OFFICER | 4582020 |
| PALIOTTA, MICHAEL JOSEPH | CHIEF EXECUTIVE OFFICER OF EVERCORE ISI | 2079036 |
| PENSA, PAUL | CHIEF FINANCIAL OFFICER/FINOP | 2119683 |
| WEINBERG, JOHN | CHIEF EXECUTIVE OFFICER | 2061177 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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