Hwanhee Kwak
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.
Hwanhee Kwak was a registered financial professional .
Hwanhee is a previously registered financial professional and started their career in finance in 2008. Hwanhee had worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2015 - August 31, 2016
KADENCE ADVISORS, LLC.
February 10, 2012 - February 14, 2014
KAYAN SECURITIES, INC.
January 5, 2011 - January 5, 2012
SH INVESTMENT & SECURITIES
February 2, 2010 - December 21, 2010
HANMI ASSET SECURITIES,INC.
July 24, 2008 - November 4, 2008
SH INVESTMENT & SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
KADENCE ADVISORS, LLC.
CRD#: 149512 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 27 |
| AUM (Assets Under Management) | $ 1,210,000 |
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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