Edward Y. 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.
Edward Young-soo Kim was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2002. Edward had worked at 3 firms and has passed the Series 63, Series 87, Series 86 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
September 22, 2016 - January 6, 2021
CARAVAN CAPITAL MANAGEMENT LLC
March 8, 2006 - February 20, 2008
BANC OF AMERICA SECURITIES LLC
April 4, 2002 - May 7, 2002
COMMERZ MARKETS LLC
State Registrations and Notice Filings
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Exams
Current Firm
CARAVAN CAPITAL MANAGEMENT LLC
CRD#: 148301 / SEC#: 801-110208
Contact information
Red Flags
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