Andrew Y. Kwon
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.
Andrew Young Kwon was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2000. Andrew had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 55, Series 25 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
August 1, 2018 - January 26, 2021
IMPERIAL CAPITAL, LLC
May 15, 2017 - May 15, 2018
BAY CREST PARTNERS, LLC
June 2, 2005 - June 9, 2017
DRIVEWEALTH INSTITUTIONAL LLC
September 9, 2002 - February 6, 2003
GOLDMAN SACHS & CO. LLC
April 28, 2000 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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
Series 7TO
Date: 12/15/2022
General Securities Representative ExaminationSeries 55
Date: 12/1/2011
Limited Representative-Equity Trader ExamSeries 25
Date: 1/18/2006
NYSE Trading Assistant ExaminationCurrent Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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