Jim K. Mui

JKM WEALTH MANAGEMENT

Boca Raton, FL 33431

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CRD#: 1007131

Professional summary

Jim King Mui, CFP®, who also goes by James King Mui, Jim K Mui, King Yim Mui, is a registered financial advisor currently at JKM WEALTH MANAGEMENT INC located in Boca Raton, Florida.

Jim is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Jim has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Insurance Planning

Retirement Planning

Investment Planning

Are you a "fiduciary"?

Yes

Aliases

James King Mui | Jim K Mui | King Yim Mui

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Jim K. Mui LLC. Not Investment-Related, 5550 Glades Road Suite 500, Boca Raton, FL 33431. Business Operations entity that holds a business loan. Managing Member, started 10/2018. No business activities or operating hours. 10/1980 to Present - Independent insurance agent located at 5550 Glades Road, Suite 500, Boca Raton, Florida 33431. This is an investment-related business selling various insurance related products. Mr. Mui spends approximately 10% to 20% of time during business trading hours servicing the needs of insurance clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jim King Mui's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1986

Experience

Current

December 17, 2018 - Present

JKM WEALTH MANAGEMENT INC

Office #1: 5550 Glades Road Suite 500, Boca Raton, FL 33431

RIA

CRD#: 297564

Boca Raton, FL

Past

October 25, 2018 - December 31, 2020

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Boca Raton, FL

Past

September 21, 2009 - October 26, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

BOCA RATON, FL

Past

August 10, 2009 - October 26, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BOCA RATON, FL

Past

September 15, 2005 - August 17, 2009

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

BOCA RATON, FL

Past

September 6, 2005 - August 17, 2009

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

BOCA RATON, FL

Past

August 22, 1996 - September 21, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BOCA RATON, FL

Past

August 16, 1996 - September 21, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 12, 1995 - September 5, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 31, 1993 - June 7, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 28, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 23, 1990 - May 29, 1991

REICH & CO., INC.

CRD#: 19611

Past

October 10, 1985 - May 18, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 19, 1985 - October 7, 1985

BROADPOINT DESCAP

CRD#: 14997

Past

August 19, 1981 - August 26, 1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(12/17/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/30/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/27/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/16/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/15/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 7/3/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

JKM WEALTH MANAGEMENT INC

JIM K. MUI, LLC | JKM WEALTH MANAGEMENT INC | JKM WEALTH MANAGEMENT

CRD#: 297564 / SEC#:

Florida

Registered Investment Advisory firm - (12/17/2018 Approved)

New York

Registered Investment Advisory firm - (2/22/2019 Approved)

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Contact information

Main Address

5550 Glades Road Suite 500, Boca Raton, FL 33431

Mailing Address

Phone number

(561) 213-1399

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	223
AUM (Assets Under Management)	$ 39,222,166

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Jim K. Mui

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jim King Mui's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

REICH & CO., INC.

PRUDENTIAL EQUITY GROUP, LLC

BROADPOINT DESCAP

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 7/30/1992

Series 63

Date: 9/27/1982

SIE

Date: 10/1/2018

Series 3

Date: 10/16/1987

Series 7

Date: 8/15/1981

Series 8

Date: 7/3/1995

Current Firm

JKM WEALTH MANAGEMENT INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JKM WEALTH MANAGEMENT INC

TRUST BUT VERIFY

Contact information

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