Jonathan S. 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.
Jonathan Soobin Kim, who also goes by Jonathan S Kim, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2011. Jonathan had worked at 2 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2014 - October 18, 2023
ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION
November 17, 2011 - July 15, 2014
NEUBERGER BERMAN BD LLC
June 22, 2011 - July 15, 2014
NEUBERGER BERMAN BD 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION
CRD#: 152920 / SEC#: , 8-68490
Contact information
FINRA licenses (53 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.
