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Sung ji Nam

Scotia Capital (usa) Inc.

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About Sung ji Nam

Sung Ji Nam is a financial advisor at Scotia Capital (usa) Inc., a firm based in New York, NY. Sung Ji Nam is currently registered as a broker-dealer and investment advisor. Sung Ji Nam has been active in the financial industry since 2007. They have a series of licenses including Series 63, SIE, Series 87, Series 86, and Series 7. Sung Ji Nam has a history of working at firms including BTIG, LLC, Avondale Partners, LLC, Cantor Fitzgerald & Co., Gleacher & Company Securities, Inc., and J.P. Morgan Securities Inc.

Firm Information

Sung ji Nam is currently registered with Scotia Capital (usa) Inc.. Scotia Capital (usa) Inc. is a corporation formed in 1939 and headquartered in the United States. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

108

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Sung ji Nam’s Registration & Firm History

NY

06/24/2022 - Present

Scotia Capital (usa) Inc. (NEW YORK NY)

NY

07/10/2017 - 04/28/2022

BTIG, LLC (New York NY)

NY

10/19/2015 - 04/04/2017

AVONDALE PARTNERS, LLC (NEW YORK NY)

NY

10/10/2011 - 06/18/2015

CANTOR FITZGERALD & CO. (NEW YORK NY)

NY

07/14/2010 - 09/09/2011

GLEACHER & COMPANY SECURITIES, INC. (NEW YORK NY)

NY

10/01/2008 - 07/26/2010

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

09/04/2006 - 10/01/2008

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/05/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/12/2006

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 09/11/2006

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 09/01/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Sung ji Nam.
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