Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Kim is a financial professional with over 14 years of experience in the financial services industry. Susan is currently registered with iCapital Markets LLC in New York, NY. Susan has previously held positions at iCapital Securities, LLC, Invesco Distributors, Inc., OppenheimerFunds Distributor, Inc., RBC Capital Markets, LLC, and RBC Capital Markets Corporation. Susan holds Series 63, SIE, and Series 7 licenses.
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.
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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2
NY
11/30/2023 - Present
Icapital Markets LLC (NEW YORK NY)
NY
10/23/2019 - 11/30/2023
ICAPITAL SECURITIES, LLC (NEW YORK NY)
TX
05/25/2019 - 10/11/2019
INVESCO DISTRIBUTORS, INC. (HOUSTON TX)
NY
09/28/2017 - 05/25/2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
NY
02/29/2008 - 05/08/2014
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
06/22/2006 - 02/29/2008
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
BC
Issued 05/10/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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