Peter S. 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.
Peter Samuel Kim was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2000. Peter had worked at 3 firms and has passed the Series 63, Series 66, Series 38, Series 37, Series 55 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 28, 2013 - July 8, 2014
OCTAGON AMERICA LIMITED
February 13, 2008 - August 5, 2008
VERSANT PARTNERS USA, INC.
August 8, 2000 - December 20, 2001
ROBERTSON STEPHENS, INC.
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 38
Date: 8/27/2013
Canada Module of the General Securities Registered Representative (Without Options Questions)Series 37
Date: 2/12/2008
Canada Module of the General Securities Registered Representative (With Options Questions)Series 55
Date: 4/2/2001
Limited Representative-Equity Trader ExamCurrent Firm
OCTAGON AMERICA LIMITED
CRD#: 148089 / SEC#: , 8-67962
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OCTAGON CAPITAL PARTNERS | SHAREHOLDER COMMON SHARES | |
| OBSBAUM, FREDRIC MICHAEL | FINOP/CCO/PRESIDENT | 1160811 |
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.
