Jimmy S. Hwang
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.
Jimmy Soon Hwang was a registered financial professional .
Jimmy is a previously registered financial professional and started their career in finance in 2003. Jimmy had worked at 5 firms and has passed the Series 66 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 27, 2013 - September 10, 2014
SH INVESTMENT & SECURITIES
September 10, 2009 - April 14, 2011
GLOBALINK SECURITIES, INC.
October 3, 2007 - September 2, 2009
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 2, 2004 - December 31, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
July 16, 2003 - February 20, 2004
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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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
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