Thomas K. Uhm
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.
Thomas Kihyun Uhm was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2004. Thomas had worked at 4 firms and has passed the Series 57TO, SIE, Series 55 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 22, 2004 - February 15, 2007
JANE STREET SPECIALISTS, LLC
November 22, 2004 - January 21, 2010
JANE STREET TRADING, LLC
September 22, 2004 - February 17, 2015
JANE STREET MARKETS, LLC
April 13, 2004 - January 16, 2025
JANE STREET CAPITAL, LLC
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/4/2004
Limited Representative-Equity Trader ExamCurrent Firm
JANE STREET SPECIALISTS, LLC
CRD#: 118232 / SEC#: , 8-53642
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JANE STREET HOLDING II, LLC | MEMBER | |
| JENKINS, MICHAEL ANDREW | MANAGING DIRECTOR | 2419091 |
| REYNOLDS, TIMOTHY WILLIAM | MANAGING DIRECTOR | 4292618 |
| SCHAAD, IAN RUSSELL | MANAGING DIRECTOR | 2568033 |
| EMMET, RICHARD STOCKTON | MANAGING DIRECTOR | 4712665 |
| GRANIERI, ROBERT ANTHONY | MANAGING DIRECTOR | 2363949 |
| KRONEMER, BARRY JACOB | CCO | 1419206 |
| LEHOCZKY, SANDOR GRAHAM | MANAGING DIRECTOR | 3231898 |
| MARC, GERSTEIN ADAM | MANAGING DIRECTOR | 4292881 |
| MINSKY, YARON MOSHE | MANAGING DIRECTOR | 5198091 |
| PROCTOR, DAVID ANTHONY | MANAGING DIRECTOR | 5053284 |
| TUCKER, EDWARD JOSEPH JR | FINOP | 1234430 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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