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Korea Investment & Securities US
Korea Investment & Securities US, commonly doing business as KIS US, functions as the US-facing broker-dealer subsidiary of Korea Investment Holdings.
Korea Investment & Securities US
Korea Investment & Securities US, commonly doing business as KIS US, functions as the US-facing broker-dealer subsidiary of Korea Investment Holdings. The parent entity, Korea Investment & Securities, is one of South Korea's largest securities firms by equity capital, with a domestic network of branch offices and an asset management division. The US operation provides trade execution, research distribution, and corporate access services that connect Korean institutional investors to US public and private markets. KIS US executes equity, fixed income, and derivatives trades for Korean institutional clients, including the National Pension Service of Korea and domestic insurance companies, which rank among the largest allocators globally. The firm distributes proprietary and third-party equity research to its client base and arranges non-deal roadshows and direct corporate access to US-listed companies. The balance sheet can participate in block trades and selected underwriting syndicates for clients who require committed capital. The firm's New York office functions as a hub for Korean institutional capital flows into the US, which have increased as Korean pensions and insurers raise foreign-currency exposure. The parent company also maintains limited overseas offices in Hong Kong and other financial centers. The US broker-dealer is registered with FINRA and the SEC. Recent regulatory filings with the SEC confirm the firm's active status and its focus on institutional brokerage and research distribution. KIS US differs from a universal-bank broker-dealer in that its parent's capital base is tied directly to the Korean retail and institutional securities business rather than a global banking book. This creates a sourcing model where KIS US essentially acts as a pass-through of Korean demand into US markets, supplementing the parent's Seoul-based trading desks. Ownership rests with Korea Investment Holdings, a publicly listed financial holding company in Seoul. This structure keeps KIS US's mandate closely coupled to the parent's core Korean client relationships.
General information
Firm type
Asset Manager
Year founded
—
AUM
Undisclosed
Location
Region
North America
Country
United States
City
New York
Corporate office
New York, NY, United States
Sector focus
Frequently asked questions
What is KIS US's primary function?
KIS US operates as a FINRA-registered broker-dealer that executes US equity, fixed income, and derivative trades for Korean institutional investors. It also distributes research and arranges corporate access to US-listed companies for its client base.
Who is the parent company of KIS US?
KIS US is wholly owned by Korea Investment Holdings, a publicly traded financial holding company in Seoul. Korea Investment Holdings is the parent of Korea Investment & Securities, one of South Korea's largest securities firms by equity capital.
What types of clients does KIS US serve?
The firm primarily serves Korean institutional investors, including the National Pension Service of Korea, domestic insurance companies, and Korean asset managers that allocate capital to US public and private markets.
Does KIS US participate in fund commitments?
KIS US functions primarily as a broker-dealer for secondary-market trading and corporate access. Fund commitments and private-market allocations are typically routed through the parent company's asset management division in Seoul rather than through the US broker-dealer.
Where is KIS US regulated?
KIS US is registered with the Securities and Exchange Commission and is a member of FINRA. The parent company, Korea Investment & Securities, is regulated by South Korea's Financial Services Commission and Financial Supervisory Service.
Profile maintained by Altss using OSINT (open-source intelligence), regulatory filings, licensed data partners, and verified direct submissions. Read the methodology. Last updated: . Continuous refresh with full update cycles at least every 30 days.
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