Frank T. Kim
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.
Frank Tae Kim, who also goes by Frank Kyongtae Kim, Frank T Kim, Kyong Tae Kim, Tae Kim Kyong, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1989. Frank had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2014 - December 31, 2016
NEXT FINANCIAL GROUP, INC.
April 24, 2009 - September 1, 2017
NEXT FINANCIAL GROUP, INC.
May 1, 2007 - April 23, 2009
NEXT FINANCIAL GROUP, INC.
October 20, 2004 - May 1, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - May 1, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 25, 2002 - October 20, 2004
QUICK & REILLY, INC.
September 5, 2002 - October 20, 2004
QUICK & REILLY, INC.
October 1, 2000 - August 26, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 23, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
December 21, 1998 - June 6, 2000
CITICORP INVESTMENT SERVICES
January 1, 1996 - December 9, 1998
FIRST UNION BROKERAGE SERVICES, INC.
September 19, 1995 - January 2, 1996
MARKETING ONE SECURITIES, INC.
August 1, 1994 - September 20, 1995
CHEMICAL INVESTMENT SERVICES CORP.
May 17, 1994 - August 1, 1994
IFMG SECURITIES, INC.
April 13, 1994 - May 19, 1994
MONY SECURITIES CORPORATION
April 5, 1993 - April 19, 1994
CAPITAL BROKERAGE CORPORATION
February 2, 1993 - April 6, 1993
IFMG SECURITIES, INC.
September 17, 1990 - February 2, 1993
CAPITAL BROKERAGE CORPORATION
April 25, 1990 - September 14, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
September 29, 1989 - April 7, 1990
CITISTREET EQUITIES LLC
April 27, 1989 - August 31, 1989
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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
Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
