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Arlene Kim

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CRD#: 5059923
AK

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.

Arlene Kim was a registered financial professional .

Arlene is a previously registered financial professional and started their career in finance in 2009. Arlene had worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 22, 2016 - March 2, 2017

STIRA CAPITAL MARKETS GROUP, LLC

BD
CRD#: 141277
IRVINE, CA
Past

March 25, 2009 - July 17, 2015

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
SAN FRANCISCO, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/27/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/2/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/24/2009
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SC
STIRA CAPITAL MARKETS GROUP, LLC
COASTAL CAPITAL MARKETS GROUP, INC. | STIRA CAPITAL MARKETS GROUP, LLC | STEADFAST CAPITAL MARKETS GROUP, LLC | CORE PRIVATE WEALTH MANAGEMENT | CORE CAPITAL MARKETS GROUP, INC.

CRD#: 141277 / SEC#: , 8-67373

BD
Terminated by SEC on 12/01/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/24/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STEADFAST REIT HOLDINGS, LLCOWNER
BUTLER, CHRISTINA MARIECHIEF COMPLIANCE OFFICER6228852
VOOS, VIRGINIA LAWRENCEFINOP, CFO, PFO, POO4576740

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

STIRA CAPITAL MARKETS GROUP, LLC

CRD#: 141277

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