Kimlinh Vukhac
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.
Kimlinh Vukhac, who also goes by Kimlinh Glasser, Kim Vu, Kim Vukhac, Kim-linh Vukhac, was a registered financial professional .
Kimlinh is a previously registered financial professional and started their career in finance in 2001. Kimlinh had worked at 5 firms and has passed the Series 63, Series 7TO, Series 86, Series 87, SIE 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
July 16, 2013 - December 31, 2021
MARWOOD GROUP RESEARCH
March 5, 2013 - July 5, 2013
CLSA AMERICAS, LLC
October 12, 2009 - June 11, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
April 3, 2003 - March 20, 2007
BANC OF AMERICA SECURITIES LLC
October 10, 2001 - April 4, 2003
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 2/28/2024
General Securities Representative ExaminationCurrent Firm
MARWOOD GROUP RESEARCH
CRD#: 147316 / SEC#: , 8-67969
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DORFMAN, ADDIE TAL | CHIEF COMPLIANCE OFFICER | 6911301 |
Disclosures
| Regulatory Event | 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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