Grace E. 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.
Grace Eunhee Kim, who also goes by Grace E Kim, Grace Kim, was a registered financial professional .
Grace is a previously registered financial professional and started their career in finance in 1999. Grace had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2023 - June 5, 2026
ICAPITAL MARKETS LLC
May 11, 2016 - November 30, 2023
ICAPITAL SECURITIES, LLC
February 3, 2009 - August 20, 2012
EATON PARTNERS, LLC
April 10, 2006 - August 13, 2008
MORGAN STANLEY & CO. LLC
September 10, 1999 - March 30, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
ICAPITAL MARKETS LLC
CRD#: 118219 / SEC#: , 8-53640
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
