Ki B. 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.
Ki Beom Kim was a registered financial professional .
Ki is a previously registered financial professional and started their career in finance in 2004. Ki had worked at 4 firms and has passed the Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2011 - May 1, 2012
ALLSTON TRADING LLC
May 20, 2010 - July 25, 2011
RBC CAPITAL MARKETS, LLC
December 20, 2005 - March 6, 2006
TD SECURITIES (USA) LLC
October 18, 2005 - December 19, 2005
TD PROFESSIONAL EXECUTION, INC.
September 8, 2004 - October 24, 2005
TD SECURITIES (USA) 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 55
Date: 9/21/2004
Limited Representative-Equity Trader ExamCurrent Firm
ALLSTON TRADING LLC
CRD#: 125499 / SEC#: , 8-65807
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
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.
