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SK

Samuel K. Kim

MACQUARIE CAPITAL (USA)
LOS ANGELES, CA 90067
Some features on this profile are disabled
CRD#: 5406281
SK
Samuel Kun KimMACQUARIE CAPITAL (USA)

Professional summary

Samuel Kun Kim, who also goes by Samuel Kim, is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in Los Angeles, California.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2010. Samuel has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.

Aliases

Samuel Kim

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) - BD

Click below to view Samuel Kun Kim's CRS (Customer Relationship Summary).

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

Current

October 9, 2019 - Present

MACQUARIE CAPITAL (USA) INC.

Office #1: 10250 Constellation Blvd, Los Angeles, CA 90067
BD
CRD#: 36368
LOS ANGELES, CA
Past

September 15, 2014 - August 27, 2019

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
LOS ANGELES, CA
Past

September 22, 2011 - August 29, 2014

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
LOS ANGELES, CA
Past

July 27, 2010 - September 15, 2011

MOELIS & COMPANY LLC

BD
CRD#: 145115
LOS ANGELES, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/9/2019)
RR
Illinois
(6/18/2021)
RR
New York
(10/9/2019)
RR
Texas
(6/18/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 8/24/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/23/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 7/26/2010
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MACQUARIE CAPITAL (USA) INC.
MACQUARIE CAPITAL (USA) INC. | MACQUARIE SECURITIES INC. | MACQUARIE SECURITIES (USA) INC. | MACQUARIE EQUITIES (U.S.A.) INC.

CRD#: 36368 / SEC#: , 8-47198

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
660 5th Ave, New York, NY 10103
Mailing Address
660 5th Ave, New York, NY 10103
Phone number
(212) 231-1000
Established
Delaware since 03/01/1994
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
MACQUARIE HOLDINGS (USA) INC.SHAREHOLDER
BACHTELER, TOBIASCO-CHIEF EXECUTIVE OFFICER4945558
CHAN, PAULINA MCHIEF COMPLIANCE OFFICER3211559
CONAHAN, JAMES SCHIEF FINANCIAL OFFICER/FINOP2538695
DE FREITAS, CARLOS ACHIEF OPERATING OFFICER4812920
FULTON, JANEEN KAYAML OFFICER3066508
VALENTINE, ROBERT GEOFFREYDIRECTOR5633577
VUOLO, JEREMY MURPHYCO-CHIEF EXECUTIVE OFFICER2798378

Disclosures

Regulatory Event4
Civil Event1

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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Company Information

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368Los Angeles, CA 90067

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