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YW

Youn Kwang Woo

KOREA INVESTMENT & SECURITIES AMERICA
New York, NY 10019
Some features on this profile are disabled
CRD#: 6944789
YW

Professional summary

Youn Kwang Woo is a registered financial professional currently at KOREA INVESTMENT & SECURITIES AMERICA, INC. located in New York, New York.

Youn Kwang is registered as a RR (Registered Representative) and started their career in finance in 2018. Youn Kwang has worked at 2 firms and has passed the Series 66, Series 79TO, SIE, Series 7 and Series 24 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 Youn Kwang Woo'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

October 7, 2020 - Present

KOREA INVESTMENT & SECURITIES AMERICA, INC.

Office #1: 1350 Avenue Of The Americas Suite 1602, New York, NY 10019
BD
CRD#: 104158
New York, NY
Past

June 11, 2018 - June 30, 2020

MIRAE ASSET WEALTH MANAGEMENT (USA) INC.

BD
CRD#: 147991
LOS ANGELES, CA

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
New York
(5/21/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/21/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/16/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/11/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/20/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KI
KOREA INVESTMENT & SECURITIES AMERICA, INC.
DONGWON SECURITIES AMERICA, INC. | KOREA INVESTMENT & SECURITIES AMERICA, INC.

CRD#: 104158 / SEC#: , 8-52615

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

Main Address
1350 Avenue Of The Americas Suite 1602, New York, NY 10019
Mailing Address
1350 Avenue Of The Americas Suite 1602, New York, NY 10019
Phone number
(212) 314-0681
Established
Delaware since 04/18/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
KOREA INVESTMENT & SECURITIES US, INC.OWNER
BAE, SANGHYUNCHIEF COMPLIANCE OFFICER / FINOP5451074
PARK, YOUNG CHOICFO5145077
SULL, HOONCHIEF EXECUTIVE OFFICER4459084

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

KOREA INVESTMENT & SECURITIES AMERICA, INC.

CRD#: 104158New York, NY 10019

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