Kathy Ryu
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.
Kathy Ryu, who also goes by Hyon-jung Choi, Kathy Choi, was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 2004. Kathy had worked at 5 firms and has passed the Series 63 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
January 5, 2009 - April 1, 2014
LAIDLAW & COMPANY (UK) LTD.
August 24, 2007 - July 9, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
May 9, 2007 - July 17, 2007
NEUBERGER BERMAN BD LLC
August 5, 2005 - November 30, 2006
CITICORP INVESTMENT SERVICES
December 16, 2004 - August 3, 2005
EQUITABLE ADVISORS, 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
Current Firm
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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