John Y. 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.
John Yoonsang Kim, who also goes by John Y. Kim, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 79 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 7, 2020 - November 7, 2022
BDO CAPITAL ADVISORS, LLC
September 5, 2016 - January 7, 2020
WELLS FARGO CLEARING SERVICES, LLC
June 22, 2006 - May 14, 2009
WELLS FARGO SECURITIES, LLC
May 24, 2005 - June 21, 2006
MESIROW FINANCIAL, INC.
May 16, 2005 - June 21, 2006
MESIROW FINANCIAL, INC.
April 14, 2004 - November 4, 2004
THE SEIDLER COMPANIES INCORPORATED
October 8, 1999 - May 21, 2002
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BDO CAPITAL ADVISORS, LLC
CRD#: 109679 / SEC#: , 8-53100
Contact information
FINRA licenses (28 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.
