Pablo M. 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.
Pablo Marcos Yongki Kim, who also goes by Pablo Marcos Yong-ki Kim, Pablo Marcos Yongki Kim, Pablo M Kim, was a registered financial professional .
Pablo is a previously registered financial professional and started their career in finance in 2012. Pablo had worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2021 - December 17, 2021
SHOPOFF SECURITIES, INC.
October 10, 2019 - December 31, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 29, 2014 - October 11, 2017
J.P. MORGAN SECURITIES LLC
July 15, 2014 - October 11, 2017
J.P. MORGAN SECURITIES LLC
March 18, 2013 - March 5, 2014
WADDELL & REED
March 2, 2012 - March 5, 2014
WADDELL & REED
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 7TO
Date: 10/5/2021
General Securities Representative ExaminationCurrent Firm
SHOPOFF SECURITIES, INC.
CRD#: 142866 / SEC#: , 8-67499
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE SHOPOFF REVOCABLE TRUST DATED 8/12/2004 | OWNER | |
| MERRIMAN, JO ALMA | CHIEF OPERATING OFFICER | 7346895 |
| SHOPOFF, CINDY MILAM | TRUSTEE | 5380583 |
| SHOPOFF, WILLIAM ANTHONY | CHIEF COMPLIANCE OFFICER / AML-CO | 1273471 |
| SHOPOFF, WILLIAM ANTHONY | PRESIDENT/CEO | 1273471 |
| SHOPOFF, WILLIAM ANTHONY | TRUSTEE | 1273471 |
| SHUMBERG, IVANA M | FINOP | 3167225 |
Red Flags
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