Cindy S. Park
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.
Cindy Seohyun Park, who also goes by Cindy Park, Seo Hyun Park, was a registered financial professional .
Cindy is a previously registered financial professional and started their career in finance in 2012. Cindy had worked at 2 firms and has passed the Series 63, SIE, Series 79 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
September 24, 2013 - July 25, 2016
THREE OCEAN SECURITIES LLC
July 2, 2012 - May 17, 2013
DEUTSCHE BANK SECURITIES INC.
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
Current Firm
THREE OCEAN SECURITIES LLC
CRD#: 166387 / SEC#: , 8-69203
Contact information
FINRA licenses (1 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.
