Katherine Shim
Professional summary
Katherine Shim, who also goes by Song Rim Shim, is a registered financial professional currently at SUMRIDGE PARTNERS, LLC located in Jersey City, New Jersey.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 2002. Katherine has worked at 9 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Katherine Shim's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2014 - Present
SUMRIDGE PARTNERS, LLC
Office #1: 111 Town Square Place, Jersey City, NJ 07310Office #2: 111 Town Square Place Suite 320, Jersey City Nj 07310, NJ 07310July 27, 2011 - April 1, 2014
NEWEDGE USA, LLC
November 10, 2009 - July 26, 2011
BRAVER STERN SECURITIES LLC
February 17, 2009 - October 12, 2009
SAFDIE INVESTMENT SERVICES CORP.
May 24, 2006 - February 18, 2009
OTR GLOBAL TRADING LLC
November 2, 2005 - February 18, 2009
OTA LLC
July 14, 2005 - October 19, 2005
UST SECURITIES CORP.
January 14, 2004 - June 24, 2005
SWISS AMERICAN SECURITIES INC.
October 6, 2002 - January 5, 2004
DEUTSCHE BANK SECURITIES 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
(3/31/2014)
(3/31/2014)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/17/2004
Limited Representative-Equity Trader ExamFINRA
Current Firm
SUMRIDGE PARTNERS, LLC
CRD#: 152437 / SEC#: , 8-68454
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREST ACQUISITION CO. | OWNER | |
| CARTER, HORACE LEROY | PRESIDENT | 2157720 |
| CATLIN, CHRISTOPHER EDWIN | DIRECTOR OF OPERATIONS/ COO (2/2015) | 1759063 |
| CHAMPAGNE, JUSTIN TYLER | MUNICIPAL PRINCIPAL/ MANAGING DIRECTOR (7/2022) | 5822474 |
| CHAMPAGNE, RYAN | HEAD OF TRADING/ SENIOR MANAGING DIRECTOR (7/2022) | 4774950 |
| DELEON, ALLYSSA NICOLE | CFO/ FINOP | 6902665 |
| JIANG, JIANZHONG | CHIEF TECHNOLOGY OFFICER/ SENIOR MANAGING DIRECTOR (7/2022) | 4779195 |
| MORANO, KEVIN ROBERT | SENIOR MANAGING DIRECTOR | 1928935 |
| SHIM, KATHERINE | CHIEF COMPLIANCE OFFICER | 4204142 |
Red Flags
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