John 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.
John Kim, who also goes by Yeon Kim, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2007. John had worked at 5 firms and has passed the Series 66, SIE, Series 31 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
November 14, 2016 - August 31, 2017
ABSOLUTE ALPHA CORP
February 2, 2015 - December 31, 2015
ABSOLUTE ALPHA CORP
July 29, 2014 - October 21, 2014
INDEPENDENT FINANCIAL GROUP, LLC
July 29, 2014 - October 21, 2014
INDEPENDENT FINANCIAL GROUP, LLC
June 3, 2013 - August 15, 2014
J.P. MORGAN SECURITIES LLC
June 3, 2013 - August 15, 2014
J.P. MORGAN SECURITIES LLC
August 13, 2010 - June 26, 2013
MORGAN STANLEY
August 13, 2010 - June 26, 2013
MORGAN STANLEY
November 28, 2007 - August 12, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2007 - August 12, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
ABSOLUTE ALPHA CORP
CRD#: 173714 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 3,800,000 |
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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