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BK

Benjamin H. Kim

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CRD#: 5832818
BK
Benjamin Hye-kwang 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.

Benjamin Hye-kwang Kim, who also goes by Ben Kim, Benjamin H Kim, Benjamin Hye-kwang Kim, Benjamin Kye-kwang Kim, Benjamin Kim, Hyekwang Kim, was a registered financial professional .

Benjamin is a previously registered financial professional and started their career in finance in 2012. Benjamin had worked at 5 firms and has passed the Series 66, Series 7TO, Series 99TO, SIE and Series 7 exams.

Aliases

Ben Kim | Benjamin H Kim | Benjamin Hye-Kwang Kim | Benjamin Kye-Kwang Kim | Benjamin Kim | Hyekwang Kim

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.
1) 1. Pacific Advisory Capital Group 2. Investment Related 3. See Registered Branch Office Location 4. RIA 5. Senior Associate 6. 5/1/2020 7. 140 hrs/mo 8. 140 hrs during trading9. Senior associate, financial planning, client management 2) 1. Fixed Insurance 2. Investment Related 3. See Registered Branch Office Location 4. Fixed / Traditional Insurance 5. Agent 6. 02/2021 7. 4 hrs/mo 8. 4 hrs during trading 9. Sales of fixed / traditional insurance products 3) 1. PKSF 2. Investment Related 3. 80 State St. Albany, NY 12207 4. Fixed / Traditional Insurance 5. Agent 6. 02/2021 7. 4 hrs/mo 8. 4 hrs during trading 9. Sales of fixed / traditional insurance products

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 29, 2021 - April 30, 2025

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Los Angeles, CA
Past

May 13, 2020 - July 30, 2026

THE PACIFIC GROUP

RIA
CRD#: 297601
LOS ANGELES, CA
Past

March 6, 2017 - April 5, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
LOS ANGELES, CA
Past

March 6, 2017 - April 5, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
LOS ANGELES, CA
Past

February 28, 2014 - March 1, 2017

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
SANTA MONICA,, CA
Past

February 28, 2014 - March 1, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SANTA MONICA,, CA
Past

October 4, 2012 - December 10, 2013

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
LOS ANGELES, CA
Past

September 24, 2012 - December 10, 2013

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/3/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/2012
General Securities Representative Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

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

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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