Sanghyun Bae
Professional summary
Sanghyun Bae, who also goes by Sang H Bae, is a registered financial professional currently at KOREA INVESTMENT & SECURITIES AMERICA, INC. located in New York, New York.
Sanghyun is registered as a RR (Registered Representative) and started their career in finance in 2007. Sanghyun has worked at 3 firms and has passed the Series 65, Series 63, Series 3, Series 99TO, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 14, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sanghyun Bae's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2023 - Present
KOREA INVESTMENT & SECURITIES AMERICA, INC.
Office #1: 1350 Avenue Of The Americas Suite 1602, New York, NY 10019Office #2: 1350 Avenue Of The Americas Suite 1602, New York, NY 10019May 3, 2010 - January 4, 2023
MIRAE ASSET SECURITIES (USA) INC.
December 6, 2007 - July 18, 2008
NEWEDGE USA, 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
(1/3/2023)
(1/3/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 4/27/2012
Limited Representative-Equity Trader ExamFINRA
Current Firm
KOREA INVESTMENT & SECURITIES AMERICA, INC.
CRD#: 104158 / SEC#: , 8-52615
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
