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HS

Hee Joo Suh

NH INVESTMENT & SECURITIES AMERICA
New York, NY 10036
Some features on this profile are disabled
CRD#: 6775687
HS

Professional summary

Hee Joo Suh is a registered financial professional currently at NH INVESTMENT & SECURITIES AMERICA, INC. located in New York, New York.

Hee Joo is registered as a RR (Registered Representative) and started their career in finance in 2021. Hee Joo has worked at 1 firm and has passed the Series 99TO, SIE and Series 14 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Hee Joo Suh'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

June 28, 2021 - Present

NH INVESTMENT & SECURITIES AMERICA, INC.

Office #1: 120 West 45th Street Suite 2402, New York, NY 10036
BD
CRD#: 30660
New York, NY

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

General Industry/Product Exam
RR
Series 99TO
Date: 6/26/2021
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 5/14/2021
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 14
Date: 2/26/2022
Compliance Officer Examination
SRO Registrations
RR
FINRA

Current Firm

NI
NH INVESTMENT & SECURITIES AMERICA, INC.
LG SECURITIES AMERICA, INC. | WOORI INVESTMENT & SECURITIES AMERICA, INC. | NH INVESTMENT & SECURITIES AMERICA, INC.

CRD#: 30660 / SEC#: , 8-45081

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

Main Address
120 West 45th Street Suite 2402, New York, NY 10036
Mailing Address
120 West 45th Street Suite 2402, New York, NY 10036
Phone number
(212) 391-4000
Established
Delaware since 06/18/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NH INVESTMENT & SECURITIES CO., LTD.DIRECT OWNER
COHEN, STEVEN ANDREWCHIEF COMPLIANCE OFFICER2218249
JIN, SANGWONCEO7384289
TAHK, HYUNJUFINOP7728475

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

NH INVESTMENT & SECURITIES AMERICA, INC.

CRD#: 30660New York, NY 10036

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