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CK

Chu S. Kwon

Some features on this profile are disabled
CRD#: 3235069
CK

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.

Chu Steve Kwon, who also goes by Chu H Kwon, Chu M Kwon, Chu Kwon, Steven Kwon, was a registered financial professional .

Chu is a previously registered financial professional and started their career in finance in 2000. Chu had worked at 6 firms and has passed the Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chu H Kwon | Chu M Kwon | Chu Kwon | Steven Kwon

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

September 13, 2011 - January 10, 2012

DIMENSION TRADING GROUP, LLC

BD
CRD#: 147929
NEW YORK, NY
Past

September 4, 2008 - December 26, 2008

G-2 TRADING,LLC

BD
CRD#: 44018
NEW YORK, NY
Past

April 29, 2008 - September 5, 2008

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
GENEVA, IL
Past

May 2, 2006 - February 2, 2007

G-2 TRADING,LLC

BD
CRD#: 44018
NEW YORK, NY
Past

May 5, 2005 - January 10, 2006

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
GENEVA, IL
Past

March 4, 2004 - May 17, 2004

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
GENEVA, IL
Past

October 30, 2002 - February 14, 2003

ELECTRONIC TRADING GROUP, LLC

BD
CRD#: 37453
NEW YORK, NY
Past

October 8, 2002 - October 31, 2002

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY
Past

September 6, 2001 - July 10, 2002

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY
Past

November 30, 2000 - September 20, 2001

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

March 17, 2000 - December 21, 2000

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY

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

General Industry/Product Exam
RR
Series 55
Date: 10/21/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/16/2000
General Securities Representative Examination

Current Firm

DT
DIMENSION TRADING GROUP, LLC
DIMENSION TRADING GROUP, LLC

CRD#: 147929 / SEC#: , 8-67943

BD
Terminated by SEC on 05/27/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 07/01/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DAIUTO JR, RALPH ANTHONYCO-MANAGING MEMBER, CEO2771292
POTTER, PHILIP GRZACCO-MANAGING MEMBER1995878
DISCENZA, PETER VINCENT JRCCO4386342
JONES, WILLIAM RUSSELL JROPERATIONS MANAGER2948251
LI, XIAOYANFINOP4465893

Disclosures

Regulatory Event1

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

DIMENSION TRADING GROUP, LLC

CRD#: 147929

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