Hee J. Yoo
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.
Hee Jung Yoo, who also goes by James Yoo, was a registered financial professional .
Hee is a previously registered financial professional and started their career in finance in 2000. Hee had worked at 5 firms and has passed the Series 63 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
November 23, 2009 - December 3, 2012
SH INVESTMENT & SECURITIES
June 13, 2005 - November 18, 2009
AEGIS CAPITAL CORP.
February 21, 2001 - June 30, 2005
YANKEE FINANCIAL GROUP, INC.
November 27, 2000 - March 13, 2001
GLENN MICHAEL FINANCIAL, INC.
August 14, 2000 - September 29, 2000
BROOKSTREET SECURITIES CORPORATION
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
SH INVESTMENT & SECURITIES
CRD#: 123074 / SEC#: , 8-65562
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
