Individual Firm
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Ronnie Kim
ROANEY KIM
CRD#: 5400473
IA
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EQUITABLE ADVISORS, LLCCRD#: 6627 LONG ISLAND CITY, NY
0
Disclosures
9
Years of Experience
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State Registrations
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New York 1/17/2024
IA
New York 1/24/2024
SRO Registrations
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IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/27/2023 - 01/03/2024 | NEW YORK, NY | |
IA | 12/02/2022 - 03/02/2023 | New York, NY | |
B | 11/21/2022 - 03/02/2023 | PURCHASE, NY | |
B | 12/23/2016 - 01/09/2019 | FRESH MEADOWS, NY | |
B | 12/23/2013 - 02/12/2014 | NEW YORK, NY | |
B | 10/01/2012 - 10/11/2013 | FLUSHING, NY | |
B | 10/26/2009 - 10/01/2012 | FLUSHING, NY | |
B | 09/17/2007 - 12/09/2008 | BAYSIDE, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.