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KM

Keith H. Min

AUTOMATED EQUITY FINANCE MARKETS
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 5656944
KM

Professional summary

Keith Hong Min, who also goes by Keith Min, is a registered financial professional currently at AUTOMATED EQUITY FINANCE MARKETS, INC. located in New York, New York and EQUILEND located in New York, New York.

Keith is registered as a RR (Registered Representative) and started their career in finance in 2009. Keith has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Keith Min

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 Keith Hong Min'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

September 4, 2009 - Present

AUTOMATED EQUITY FINANCE MARKETS, INC.

Office #1: 225 Liberty Street 43rd Floor, Suite 4310, New York, NY 10281Office #2: 225 Liberty Street 43rd Floor, Suite 4310, New York, NY 10281
BD
CRD#: 147941
NEW YORK, NY
Current

June 23, 2021 - Present

EQUILEND

Office #1: 225 Liberty Street 43rd Floor, Suite 4310, New York, NY 10281Office #2: 225 Liberty Street 43rd Floor, Suite 4310, New York, NY 10281
BD
CRD#: 119107
NEW YORK, NY

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
New York
(3/7/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 3/7/2014
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: 9/3/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EQ
EQUILEND
EQUILEND | EQUILEND LLC

CRD#: 119107 / SEC#: , 8-53738

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

Main Address
225 Liberty Street 43rd Floor, Suite 4310, New York, NY 10281
Mailing Address
225 Liberty Street 43rd Floor, Suite 4310, New York, NY 10281
Phone number
(212) 901-2272
Established
Delaware since 10/12/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EQUILEND GLOBAL HUBCO LLCDIRECT OWNER - INTERMEDIATE PARENT HOLDINGS COMPANY
NIGRELLI, PAUL JOACHIMCHIEF COMPLIANCE OFFICER4572522
NIGRELLI, PAUL JOACHIMCHIEF FINANCIAL OFFICER AND FINOP4572522
NIGRELLI, PAUL JOACHIMCHIEF EXECUTIVE OFFICER4572522
WACHTER, KAZUKOGENERAL COUNSEL7218349

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.

Company Information

EQUILEND

CRD#: 119107New York, NY 10281

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