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EK

Eugene K. Kim

Some features on this profile are disabled
CRD#: 3173613
EK

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.

Eugene Kurt Kim, who also goes by E Kurt Kim, Eugene K. Kim, was a registered financial professional .

Eugene is a previously registered financial professional and started their career in finance in 1999. Eugene had worked at 1 firm and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

E Kurt Kim | Eugene K. Kim

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 8, 2004 - March 29, 2024

PROMETHEAN CAPITAL GROUP LLC

BD
CRD#: 44813
WARWICK, NY
Past

May 11, 1999 - June 20, 2000

PROMETHEAN CAPITAL GROUP LLC

BD
CRD#: 44813
AQUINNAH, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/22/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/7/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/15/2007
General Securities Principal Examination

Current Firm

PC
PROMETHEAN CAPITAL GROUP LLC
PROMETHEAN CAPITAL GROUP LLC | PROMETHEAN INVESTMENT GROUP, INC.

CRD#: 44813 / SEC#: , 8-50833

BD
Terminated by SEC on 03/30/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/27/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
O'BRIEN, JAMES FRANCIS JR.PRESIDENT, GENERAL SECURITIES PRINCIPAL, INVESMENT BANKING PRINCIPAL1962008
KIM, EUGENE KURTGENERAL SECURITIES PRINCIPAL,CHIEF COMPLIANCE OFFICER AND CFO, COMPLIANCE OFFICER, INVESTMENT BANKING PRINCIPAL3173613
AHLFELD, JAMES BFINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL OPERATIONS OFFICER4955796

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.

Company Information

PROMETHEAN CAPITAL GROUP LLC

CRD#: 44813

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