Kyung S. Chai
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.
Kyung Soo Chai, who also goes by Ken Chai, was a registered financial professional .
Kyung is a previously registered financial professional and started their career in finance in 1972. Kyung had worked at 10 firms and has passed the Series 65, Series 63, PC, Series 15, Series 1, Series 000 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2001 - September 28, 2002
THE LEADERS GROUP, INC.
January 29, 2001 - November 19, 2002
CRAIG & ASSOCIATES, INC.
September 3, 1998 - March 20, 2000
BROOKSTREET SECURITIES CORPORATION
July 7, 1995 - August 16, 1996
NATIONAL SECURITIES CORPORATION
November 7, 1994 - June 20, 1995
A. G. EDWARDS & SONS, INC.
January 16, 1992 - November 2, 1994
CIBC WORLD MARKETS CORP.
October 16, 1980 - January 14, 1992
PRUDENTIAL EQUITY GROUP, LLC
November 21, 1978 - April 24, 1979
CITIGROUP GLOBAL MARKETS INC.
September 26, 1978 - January 2, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 1972 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 6/1/1988
AMEX Put and Call ExamSeries 15
Date: 6/7/1984
Foreign Currency Options ExaminationSeries 1
Date: 11/1/1972
Registered Representative ExaminationSeries 000
Date: 10/24/1972
General Securities Principal ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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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