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GK

Gabrielle S. Kim

ROTHSCHILD & CO US
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 6077457
GK

Professional summary

Gabrielle S Kim, who also goes by Gabrielle Kim, is a registered financial professional currently at ROTHSCHILD & CO US INC. located in New York, New York.

Gabrielle is registered as a RR (Registered Representative) and started their career in finance in 2013. Gabrielle has worked at 5 firms and has passed the Series 66, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gabrielle 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gabrielle S Kim'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

March 5, 2026 - Present

ROTHSCHILD & CO US INC.

Office #1: 1251 Avenue Of The Americas, New York, NY 10020
BD
CRD#: 2910
NEW YORK, NY
Past

July 6, 2023 - March 17, 2026

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
NEW YORK, NY
Past

October 12, 2021 - July 28, 2023

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

March 14, 2016 - July 28, 2021

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

December 4, 2013 - March 22, 2016

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

August 26, 2013 - March 22, 2016

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
Alabama
(3/5/2026)
RR
Alaska
(3/5/2026)
RR
Arizona
(3/5/2026)
RR
Arkansas
(3/5/2026)
RR
California
(3/5/2026)
RR
Colorado
(3/5/2026)
RR
Connecticut
(3/5/2026)
RR
Delaware
(3/5/2026)
RR
District of Columbia
(3/5/2026)
RR
Florida
(3/5/2026)
RR
Georgia
(3/5/2026)
RR
Hawaii
(3/5/2026)
RR
Idaho
(3/5/2026)
RR
Illinois
(3/5/2026)
RR
Indiana
(3/5/2026)
RR
Iowa
(3/5/2026)
RR
Kansas
(3/5/2026)
RR
Kentucky
(3/5/2026)
RR
Louisiana
(3/5/2026)
RR
Maine
(3/5/2026)
RR
Maryland
(3/5/2026)
RR
Massachusetts
(3/5/2026)
RR
Michigan
(3/5/2026)
RR
Minnesota
(3/5/2026)
RR
Mississippi
(3/5/2026)
RR
Missouri
(3/5/2026)
RR
Montana
(3/5/2026)
RR
Nebraska
(3/5/2026)
RR
Nevada
(3/5/2026)
RR
New Hampshire
(3/5/2026)
RR
New Jersey
(3/5/2026)
RR
New Mexico
(3/5/2026)
RR
New York
(3/5/2026)
RR
North Carolina
(3/5/2026)
RR
North Dakota
(3/5/2026)
RR
Ohio
(3/5/2026)
RR
Oklahoma
(3/5/2026)
RR
Oregon
(3/5/2026)
RR
Pennsylvania
(3/5/2026)
RR
Puerto Rico
(3/5/2026)
RR
Rhode Island
(3/5/2026)
RR
South Carolina
(3/5/2026)
RR
South Dakota
(3/5/2026)
RR
Texas
(3/5/2026)
RR
Utah
(3/5/2026)
RR
Vermont
(3/5/2026)
RR
Virgin Islands
(3/5/2026)
RR
Virginia
(3/5/2026)
RR
Washington
(3/5/2026)
RR
West Virginia
(3/5/2026)
RR
Wisconsin
(3/5/2026)
RR
Wyoming
(3/5/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/27/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/10/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

R&
ROTHSCHILD & CO US INC.
NEW COURT SECURITIES CORPORATION | ROTHSCHILD INC. | ROTHSCHILD & CO US INC.

CRD#: 2910 / SEC#: , 8-13852

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Loading...

Contact information

Main Address
1251 Avenue Of The Americas, New York, NY 10020
Mailing Address
1251 Avenue Of The Americas, New York, NY 10020
Phone number
(212) 403-3500
Established
Delaware since 07/20/1967
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
ROTHSCHILD & CO NORTH AMERICA INC.DIRECT SHAREHOLDER
CARROLL, JOHN MURRAYDIRECTOR2605675
FELDMAN, TRACY JDIRECTOR2575503
LONDON, FRANK STEVENCHIEF COMPLIANCE OFFICER5861920
NEISSA, JAMES MANUELDIRECTOR2142240
SCHACKERT, CHRISTA MARYPRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER4219093
SPELLER, MICHAEL CHARLESCHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR3105214

Disclosures

Regulatory Event1

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

ROTHSCHILD & CO US INC.

CRD#: 2910New York, NY 10020

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