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SK

Susan K. Kim

HPS SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 4828104
SK

Professional summary

Susan K Kim, who also goes by Susan K Kim, Susan Kim, is a registered financial professional currently at HPS SECURITIES, LLC located in New York, New York.

Susan is registered as a RR (Registered Representative) and started their career in finance in 2006. Susan has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Susan K Kim | Susan Kim

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Susan K Kim's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 24, 2025 - Present

HPS SECURITIES, LLC

Office #1: 40 West 57th Street 33rd Floor, New York, NY 10019
BD
CRD#: 319197
New York, NY
Past

November 30, 2023 - July 15, 2025

ICAPITAL MARKETS LLC

BD
CRD#: 118219
NEW YORK, NY
Past

October 23, 2019 - November 30, 2023

ICAPITAL SECURITIES, LLC

BD
CRD#: 171061
NEW YORK, NY
Past

May 25, 2019 - October 11, 2019

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
HOUSTON, TX
Past

September 28, 2017 - May 25, 2019

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

February 29, 2008 - May 8, 2014

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

June 22, 2006 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(1/2/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 5/10/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/28/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HPS SECURITIES, LLC
HPS SECURITIES, LLC

CRD#: 319197 / SEC#: , 8-70910

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
40 West 57th Street 33rd Floor, New York, NY 10019
Mailing Address
40 West 57th Street 33rd Floor, New York, NY 10019
Phone number
(212) 287-6767
Established
Delaware since 02/07/2022
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HPS GROUP HOLDINGS II, LLCSOLE MEMBER
CHRISTMAS, JOHN EDWARDPRESIDENT2772276
STAMOVA, ILINA SFINANCIAL AND OPERATIONS PRINCIPAL5500851
VIRGILIO, JOSEPH JAMESCHIEF COMPLIANCE OFFICER2041281

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.

Company Information

HPS SECURITIES, LLC

CRD#: 319197New York, NY 10019

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