Jim W. 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.
Jim Wing Kwon was a registered financial professional .
Jim is a previously registered financial professional and started their career in finance in 1981. Jim had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2009 - December 8, 2016
FOOTHILL SECURITIES, INC.
February 24, 2006 - December 1, 2016
CUE FINANCIAL GROUP, INC.
July 18, 2005 - August 3, 2009
CUE FINANCIAL GROUP, INC.
October 31, 2003 - July 15, 2005
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 29, 1981 - October 31, 2003
ZAHORIK COMPANY, INC.
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
Current Firm
FOOTHILL SECURITIES, INC.
CRD#: 1027 / SEC#: 801-57293, 8-11117
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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