Sun-jung Choi
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.
Sun-jung Choi, CFA, who also goes by Helena Choi, Sun J Choi, was a registered financial professional .
Sun-jung is a previously registered financial professional and started their career in finance in 2009. Sun-jung had worked at 4 firms and has passed the Series 66, Series 87 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
May 15, 2013 - September 3, 2013
PURSHE KAPLAN STERLING INVESTMENTS
April 30, 2013 - June 6, 2016
INTEGRATED MONEY MANAGEMENT, LLC
January 24, 2012 - October 23, 2012
LPL FINANCIAL LLC
October 10, 2011 - October 23, 2012
LPL FINANCIAL LLC
September 22, 2009 - July 8, 2011
TRICOR FINANCIAL, 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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
