Thomas H. Kim
Professional summary
Thomas Hongkyo Kim, who also goes by Hongkyo Kim, Thomas Hongkyo Kim, Thomas H Kim, is a registered financial professional currently at GLOBALINK SECURITIES, INC. located in Monrovia, California.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Hongkyo Kim's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 13, 2024 - Present
GLOBALINK SECURITIES, INC.
Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016May 9, 2021 - June 2, 2022
CETERA INVESTMENT ADVISERS LLC
March 8, 2021 - June 2, 2022
CETERA INVESTMENT SERVICES LLC
March 14, 2019 - December 17, 2020
EQUITABLE ADVISORS, LLC
November 1, 2017 - January 25, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 30, 2015 - August 17, 2017
EQUITY SERVICES, INC.
June 26, 2014 - September 11, 2015
PARK AVENUE SECURITIES LLC
December 15, 2006 - June 11, 2014
NYLIFE SECURITIES LLC
May 3, 2006 - August 17, 2006
EQUITABLE ADVISORS, LLC
October 20, 1998 - September 1, 1999
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/13/2024)
(7/9/2024)
(2/13/2024)
Exams
FINRA
Current Firm
GLOBALINK SECURITIES, INC.
CRD#: 29721 / SEC#: , 8-44509
Contact information
FINRA licenses (28 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HU, PHILIP CHENGKUO | EXECUTIVE VICE PRESIDENT | 2576527 |
| LIAO, JUNHUA | PRESIDENT /CEO, CCO, AND AMLCO | 4278425 |
| TUNG, YVONNE YI-WEN | SECRETARY | 5202974 |
| FAN, STEVEN | SVP, COMPLIANCE DIRECTOR | 4039972 |
| LIOU, SHIOU-ING DIANE | SHAREHOLDER | 4436524 |
| LU, YUANYUAN | VP, DIRECTOR OF MARKETING | 7602201 |
| SHEN, LAN | SHAREHOLDERS | 4809719 |
| TANG, YING | VP, DIRECTOR OF ACCOUNTING | 6135897 |
| THORNTON, STEVEN LEE | FINOP | 4496384 |
| WANG, ZHUOLI | VP, DIRECTOR OF OPERATION | 6296782 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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