Hyesook (. 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.
Hyesook (nmn) Kim, who also goes by Hyesook Kim, Sue Kim, was a registered financial professional .
Hyesook is a previously registered financial professional and started their career in finance in 2000. Hyesook had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2014 - December 14, 2017
KLK CAPITAL MANAGEMENT LLC
April 24, 2014 - November 1, 2017
M. S. HOWELLS & CO.
November 22, 2006 - April 28, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 2005 - April 28, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2003 - February 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
August 2, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 2, 2000 - April 13, 2001
PRUCO SECURITIES, LLC.
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
KLK CAPITAL MANAGEMENT LLC
CRD#: 170571 / SEC#: 801-80666
Contact information
Regulatory assets under management
| Total Number of Accounts | 283 |
| AUM (Assets Under Management) | $ 141,810,016 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2023 | ||
| 11/17/2022 | ||
| 12/21/2021 |
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.
