Julie Kwak
Professional summary
Julie Kwak, who also goes by Julie S Kwak, Julie Song Kwak, is a registered financial professional currently at STANDARD CHARTERED SECURITIES NORTH AMERICA LLC located in New York, New York.
Julie is registered as a RR (Registered Representative) and started their career in finance in 2000. Julie has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Julie Kwak's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2025 - Present
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
Office #1: 1095 Avenue Of The Americas, New York, NY 10036October 26, 2017 - June 4, 2024
MORGAN STANLEY & CO. LLC
January 2, 2013 - September 23, 2013
LOOP CAPITAL MARKETS LLC
October 19, 2009 - September 21, 2011
UBS SECURITIES LLC
March 25, 2009 - September 15, 2009
SANDERS MORRIS LLC
November 3, 2000 - February 23, 2009
CREDIT SUISSE SECURITIES (USA) LLC
August 21, 2000 - September 26, 2002
PERSHING LLC
January 12, 2000 - August 23, 2000
JPMSI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/15/2025)
(4/15/2025)
(4/5/2025)
Exams
FINRA
Current Firm
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
CRD#: 130847 / SEC#: , 8-66397
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANDARD CHARTERED HOLDINGS INC. | OWNER | |
| DEFILIPPO, MANDY J | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7184614 |
| HAUSCHILD, AUGUST DANIEL | ANTI MONEY LAUNDERING COMPLIANCE OFFICER | 4287421 |
| JONES, PAUL FAULKNER | CHIEF RISK OFFICER | 7630280 |
| NIELSEN, PETER | FINANCIAL AND OPERATIONS PRINCIPAL | 1072259 |
| PAULIC, JACINTA | CHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS | 5823367 |
Red Flags
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