Andrew J. Kwon
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.
Andrew Jaemin Kwon, who also goes by Andy Kwon, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2019. Andrew had worked at 1 firm and has passed the Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2019 - September 19, 2019
MORNINGSTAR INVESTMENT SERVICES LLC
Primary Firm SEC Registration
MORNINGSTAR INVESTMENT SERVICES LLC
CRD#: 112525 / SEC#: 801-60401, 8-53593
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: 12/22/2018
General Securities Representative ExaminationCurrent Firm
MORNINGSTAR INVESTMENT SERVICES LLC
CRD#: 112525 / SEC#: 801-60401, 8-53593
Contact information
SEC notice filing (53 States and Territories)
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/14/2025 | ||
| 08/20/2024 | ||
| 09/28/2023 | ||
| 10/28/2022 |
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.
