Caroline 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.
Caroline Kim, who also goes by Caroline Soyoung Kim, was a registered financial professional .
Caroline is a previously registered financial professional and started their career in finance in 2003. Caroline had worked at 6 firms and has passed the Series 63, SIE, Series 31 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
February 14, 2012 - June 11, 2018
PLUS SECURITIES LLC
October 1, 2008 - July 23, 2009
J.P. MORGAN SECURITIES LLC
April 23, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
July 18, 2005 - October 12, 2006
CREDIT SUISSE SECURITIES (USA) LLC
July 11, 2003 - September 5, 2003
CITIGROUP GLOBAL MARKETS INC.
February 28, 2003 - June 26, 2003
AVALON PARTNERS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
PLUS SECURITIES LLC
CRD#: 138299 / SEC#: , 8-67157
Contact information
Documents
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.
