Richard T. 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.
Richard Tae Kyu Kim was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2004. Richard had worked at 5 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2009 - December 5, 2012
SUSQUEHANNA SECURITIES, LLC
November 30, 2007 - January 7, 2008
SIG INDEX SPECIALISTS, LLC
May 3, 2007 - December 5, 2007
SIG SPECIALISTS, INC.
September 14, 2004 - July 11, 2007
SIG BROKERAGE, LP
September 14, 2004 - June 19, 2009
SUSQUEHANNA INVESTMENT GROUP
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
Current Firm
SUSQUEHANNA SECURITIES, LLC
CRD#: 35874 / SEC#: , 8-47034
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 60 |
Red Flags
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