Kim Y. Wone
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kim Y Wone, who also goes by Kim Ying Wone, Sabrina K Wone, Sabrina Kim Wone, Sabrina Kim Ying Wone, Sabrina Wone, Kim Ying, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1988. Kim had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2021 - January 18, 2022
LIDO
February 15, 2013 - July 16, 2021
MORGAN STANLEY
February 15, 2013 - July 16, 2021
MORGAN STANLEY
July 10, 2012 - February 19, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 6, 2012 - February 19, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 23, 2005 - October 4, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 14, 2003 - October 4, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 1999 - March 15, 2001
CITICORP INVESTMENT SERVICES
July 27, 1992 - June 11, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 21, 1991 - July 14, 1992
FIRST ASSET MANAGEMENT, INC.
October 18, 1990 - January 29, 1991
V P SECURITIES, INC.
May 21, 1990 - October 18, 1990
CASTLE SECURITIES CORP.
October 24, 1989 - June 12, 1990
KOCHCAPITAL
April 18, 1989 - October 21, 1989
SOUTH RICHMOND SECURITIES, INC.
October 3, 1988 - April 22, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 22, 1988 - September 30, 1988
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
LIDO
CRD#: 269866 / SEC#: 801-100433
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/24/2024
General Securities Representative ExaminationCurrent Firm
LIDO
CRD#: 269866 / SEC#: 801-100433
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 27,931 |
| AUM (Assets Under Management) | $ 29,080,337,946 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 11/26/2024 | ||
| 01/26/2024 | ||
| 02/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
