Base
Customs Broker

Kenny K. Um

CA

Cross-Source Intelligence

Arrivals (12 mo)

0

0 active ports

Active Ports

0

Distinct US ports with vessel activity

Compliance

Clear

6 lists screened

Data compiled from CBP Licensed Brokers, OpenSanctions, OFAC SDN, BIS Consolidated Screening List · As of 2026-04-28 · Updates daily

Sanctions & Compliance Screening

OFAC Specially Designated Nationals (SDN)

No matches found

Search of the OFAC SDN list for “Kenny K. Um” returned no matches.

BIS Consolidated Screening List (CSL)

No matches found

Search of the BIS CSL for “Kenny K. Um” returned no matches. This covers the BIS Entity List, Denied Persons List, OFAC SDN, ITAR Debarred, and 10 other U.S. export control lists.

SEC Filings (100)

000-55775
2021-09-30

EX-99.1

View on SEC.gov →
020-32487
2023-06-15

EXHIBIT E

View on SEC.gov →
001-39541
2021-02-01

EXHIBIT 99.2

View on SEC.gov →
001-40060
2021-10-01

COMPANY PRESENTATION

View on SEC.gov →
001-39541
2021-02-01

EXHIBIT 99.2

View on SEC.gov →
001-42250
2025-05-30

FORM 425

View on SEC.gov →
001-11373
2018-09-26

COURTESY PDF OF PROXY STATEMENT

View on SEC.gov →
002-76219-NY
2015-03-31

EXHIBIT 99.1

View on SEC.gov →
001-36876
2019-04-02

EXHIBIT 10.49

View on SEC.gov →
001-42765
2025-11-12

EX-99.2

View on SEC.gov →
000-21267
2006-10-05

PRELIMINARY PROXY STATEMENT

View on SEC.gov →
000-21267
2006-11-30

DEFINITIVE PROXY STATEMENT

View on SEC.gov →
000-21267
2006-11-17

AMENDMENT #1, PRELIMINARY PROXY STATEMENT

View on SEC.gov →
811-07626
2021-07-01

INFORMATION ABOUT THE REGISTRANT

View on SEC.gov →
333-125428
2005-06-02

SEC filing

View on SEC.gov →
001-37503
2023-12-13

B. RILEY FINANCIAL, INC. ANALYST AND INVESTOR DAY PRESENTATION SLIDES DATED DECEMBER 13, 2023

View on SEC.gov →
333-272875
2023-06-23

S-3

View on SEC.gov →
000-54546
2021-12-17

EXHIBIT 10.2

View on SEC.gov →
001-04119
2023-03-24

ARS

View on SEC.gov →
001-16681
2023-12-13

COURTESY PDF OF PROXY STATEMENT

View on SEC.gov →
811-06400
2023-08-18

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY

View on SEC.gov →
811-06400
2020-08-20

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY

View on SEC.gov →
811-08006
2005-08-26

N-PX FILINGS

View on SEC.gov →
001-11241
2009-09-23

PDF

View on SEC.gov →
811-05037
2011-08-25

ANNUAL REPORT OF PROXY VOTING

View on SEC.gov →
811-04236
2005-11-14

SEC filing

View on SEC.gov →
002-95973
2006-04-28

POST-EFFECTIVE AMENDMENT NO.81

View on SEC.gov →
811-03735
2016-08-29

N-PX

View on SEC.gov →
811-22211
2011-08-30

SEC filing

View on SEC.gov →
002-95973
2006-05-05

POST-EFFECTIVE AMENDMENT NO. 82

View on SEC.gov →
811-08272
2015-08-19

N-PX

View on SEC.gov →
001-09025
2018-03-08

EX-99.2

View on SEC.gov →
811-08789
2008-08-21

FORM N-PX - ANNUAL REPORT

View on SEC.gov →
001-38521
2020-01-21

425

View on SEC.gov →
001-38521
2020-01-21

EX-2.1

View on SEC.gov →
001-31792
2007-05-09

FORM 10-Q

View on SEC.gov →
333-165662
2010-04-21

EX-10.16

View on SEC.gov →
001-09025
2020-10-28

EX-99.1

View on SEC.gov →
002-95973
2006-01-20

SEC filing

View on SEC.gov →
811-22532
2015-08-27

RGT N-PX 6/30/2015

View on SEC.gov →
811-02699
2021-08-12

N-PX

View on SEC.gov →
001-09025
2019-10-15

EXHIBIT 99.1

View on SEC.gov →
002-95973
2005-11-07

497 - STATEMENT OF ADDITIONAL INFORMATION

View on SEC.gov →
333-284115
2025-11-13

424B4

View on SEC.gov →
002-95973
2006-03-06

POST-EFFECTIVE AMENDMENT NO. 80

View on SEC.gov →
811-09913
2021-08-12

N-PX

View on SEC.gov →
002-95973
2005-12-30

SEC filing

View on SEC.gov →
002-95973
2006-05-04

FORM 497(E)

View on SEC.gov →
811-21265
2023-08-07

N-PX

View on SEC.gov →
811-06400
2025-08-20

SEC filing

View on SEC.gov →
001-37665001-07541
2024-04-09

ARS

View on SEC.gov →
811-21977
2018-08-10

N-PX

View on SEC.gov →
811-00649
2015-08-24

SEC filing

View on SEC.gov →
001-31722
2022-04-05

EX-99.1

View on SEC.gov →
001-11373
2025-09-16

ANNUAL REPORT TO SECURITY HOLDERS

View on SEC.gov →
811-06463
2018-08-10

N-PX

View on SEC.gov →
811-09913
2023-08-07

N-PX

View on SEC.gov →
811-04556
2015-08-26

N-PX

View on SEC.gov →
811-07883
2015-08-18

N-PX

View on SEC.gov →
811-21261
2015-08-13

RYDEX ETF TRUST

View on SEC.gov →
002-95973
2005-12-19

SEC filing

View on SEC.gov →
002-69565
2017-12-11

CALVERT MANAGEMENT SERIES 497 AS REVISED 12-11-17

View on SEC.gov →
811-07455
2015-08-17

VIRTUS OPPORTUNITIES TRUST

View on SEC.gov →
333-236581
2020-07-24

F-4/A

View on SEC.gov →
333-236581
2020-02-24

F-4

View on SEC.gov →
811-07774
2005-08-26

N-PX FILINGS

View on SEC.gov →
811-07452
2021-08-12

N-PX

View on SEC.gov →
811-04642
2005-08-24

FORM N-PX

View on SEC.gov →
001-31722
2020-03-30

EXHIBIT 99.1

View on SEC.gov →
333-236581
2020-07-17

F-4/A

View on SEC.gov →
333-236581
2020-07-08

F-4/A

View on SEC.gov →
811-07347
2005-08-26

N-PX FILING

View on SEC.gov →
811-07257
2021-08-25

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY

View on SEC.gov →
002-95973
2006-05-04

FORM 497(C)

View on SEC.gov →
811-21085
2006-09-01

COVER LETTER AND DATA INFORMATION

View on SEC.gov →
811-06625
2006-09-01

COVER LETTER AND DATA INFORMATION

View on SEC.gov →
811-07257
2016-08-30

SEC filing

View on SEC.gov →
002-69565
2018-02-23

CALVERT ULTRA-SHORT DURATION INCOME NEXTSHARES 497 SAI AS REVISED 2-23-2018

View on SEC.gov →
001-14260
2025-03-20

ARS

View on SEC.gov →
002-76510
2018-02-07

CF 497 AS REVISED SAI DTD 2-7-18

View on SEC.gov →
333-44064
2018-02-23

CALVERT IMPACT FUND, INC. SAI AS REVISED 2-23-2018

View on SEC.gov →
002-75106
2018-02-23

CALVERT SOCIAL INVESTMENT FUND SAI AS REVISED 2-23-2018

View on SEC.gov →
333-44064
2018-02-07

CIF 497 AS REVISED SAI DTD 2-7-18

View on SEC.gov →
033-87244
2009-04-06

JNL SERIES TRUST 497(C) 04-06-2009

View on SEC.gov →
811-03023
2011-08-24

FORUM FUNDS

View on SEC.gov →
811-03599
2015-08-27

TRF N-PX 6/30/2015

View on SEC.gov →
811-07507
2005-08-26

N-PX FILING

View on SEC.gov →
002-95973
2006-05-12

FORM 497(C)

View on SEC.gov →
811-05426
2017-08-10

N-PX

View on SEC.gov →
811-08481
2005-08-31

NATIONS SEPARATE ACCOUNT TRUST -- N-PX

View on SEC.gov →
811-05002
2005-08-25

N-PX FILING

View on SEC.gov →
811-05426
2018-08-10

N-PX

View on SEC.gov →
002-95973
2005-05-16

POST-EFFECTIVE AMENDMENT NO. 72

View on SEC.gov →
811-21977
2018-08-10

N-PX

View on SEC.gov →
002-69565
2018-02-22

CALVERT MANAGEMENT SERIES 497 CALVERT FRAF AS REVISED 2-22-18

View on SEC.gov →
333-236581
2020-08-03

F-4/A

View on SEC.gov →
333-34122
2017-12-11

CALVERT RESPONSIBLE INDEX SERIES, INC. AS REVISED DTD 12-11-17

View on SEC.gov →
001-38521
2020-08-04

DEFM14A

View on SEC.gov →
001-38521
2020-07-17

PRER14A

View on SEC.gov →
001-38521
2020-08-03

PRER14A

View on SEC.gov →

Source: SEC EDGAR Full-Text Search

Registry Details

CBP License
9EJ
License Status
Active
Address
CA
Classification
Customs Broker

Data Sources

Compliance Screening

No sanctions match

No exact name match found in OpenSanctions global database. This is not a guarantee of compliance — always verify through official channels.

Source: OpenSanctions (OFAC SDN, EU, UN, and 40+ additional lists)

Screening Tools

Search the Consolidated Screening List (BIS, OFAC, DDTC) and global sanctions lists.

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