Stewart M. Kim
Professional summary
Stewart Michael Kim is a registered financial professional currently at PGP CAPITAL ADVISORS, LLC located in Los Angeles, California.
Stewart is registered as a RR (Registered Representative) and started their career in finance in 1987. Stewart has worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stewart Michael Kim's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 25, 2004 - Present
PGP CAPITAL ADVISORS, LLC
Office #1: 865 S. Figueroa Street Suite 1330, Los Angeles, CA 90017Office #2: 11111 Santa Monica Blvd Suite 910, Los Angeles, CA 90025April 18, 2011 - December 31, 2012
PGP INVESTMENT ADVISORS, LLC
January 29, 2008 - December 31, 2010
PGP INVESTMENT ADVISORS, LLC
May 2, 1997 - March 9, 1999
FIRST FUND DISTRIBUTORS, INC.
October 26, 1995 - April 29, 1997
AMERICAN EASTERN SECURITIES, INC.
August 25, 1989 - February 15, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 1987 - September 3, 1987
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/26/2004)
(3/4/2010)
(5/24/2010)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
PGP CAPITAL ADVISORS, LLC
CRD#: 128797 / SEC#: , 8-66180
Contact information
FINRA licenses (8 States and Territories)
Red Flags
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