Thomas H. 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.
Thomas Hongkyo Kim, who also goes by Hongkyo Kim, Thomas Hongkyo Kim, Thomas H Kim, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2024 - December 15, 2025
GLOBALINK SECURITIES, INC.
May 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
Exams
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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