Chris S. 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.
Chris Sejoo Kim, who also goes by Chris Kim, Chris Sejoo Sejoo Kim, Se Joo Kim, Sejoo Kim, was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 1991. Chris had worked at 10 firms and has passed the Series 63, Series 7, Series 10, Series 9 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
June 3, 2011 - June 1, 2025
KADENCE ADVISORS, LLC.
September 18, 2007 - December 31, 2010
EXCELLENCE ASSET MANAGEMENT INC
February 2, 2006 - March 7, 2007
CROWELL, WEEDON & CO.
February 2, 2006 - March 7, 2007
CROWELL, WEEDON & CO.
April 21, 2005 - February 9, 2006
J.P. MORGAN SECURITIES LLC
April 1, 2005 - February 9, 2006
J.P. MORGAN SECURITIES LLC
August 9, 2002 - April 6, 2005
CHARLES SCHWAB & CO., INC.
July 26, 2002 - April 6, 2005
CHARLES SCHWAB & CO., INC.
May 10, 2001 - June 27, 2002
MORGAN STANLEY DW INC.
December 19, 2000 - June 27, 2002
MORGAN STANLEY DW INC.
December 7, 1998 - January 13, 2001
HANMI SECURITIES, INC.
October 17, 1997 - November 23, 1998
KUKJE INVESTMENT & SECURITIES, INC.
July 10, 1995 - June 30, 1997
DAEHAN SECURITIES, INC.
April 13, 1993 - July 21, 1994
DAEHAN SECURITIES, INC.
August 22, 1991 - April 12, 1993
TRIGEM AMERSTOCK CORPORATION
April 29, 1991 - July 18, 1991
DAEHAN SECURITIES, 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
Exams
Current Firm
KADENCE ADVISORS, LLC.
CRD#: 149512 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 27 |
| AUM (Assets Under Management) | $ 1,210,000 |
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.
