Charles J. Kim

5D PARTNERS LLC

New York, NY 10017

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CRD#: 2175048

Professional summary

Charles Jong Won Kim, who also goes by Charles J Kim, Charles Jongwon Kim, Jong Won Kim, is a registered financial professional currently at 5D PARTNERS LLC located in New York, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1992. Charles has worked at 10 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles J Kim | Charles Jongwon Kim | Jong Won Kim

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Jong Won Kim's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 26, 2022 - Present

5D PARTNERS LLC

Office #1: 535 Fifth Ave 4th Floor, New York, NY 10017

CRD#: 308304

New York, NY

Past

November 2, 2020 - November 30, 2021

RAINMAKER SECURITIES, LLC

CRD#: 132995

CORAL GABLES, FL

Past

July 30, 2013 - November 18, 2019

CHINA RENAISSANCE SECURITIES (US) INC.

CRD#: 166318

San Francisco, CA

Past

February 21, 2011 - January 28, 2013

MIRAE ASSET WEALTH MANAGEMENT (USA) INC.

CRD#: 147991

NEW YORK, NY

Past

June 15, 2001 - July 19, 2005

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 7, 1999 - April 16, 2001

ROBERT FLEMING INC.

CRD#: 1711

NEW YORK, NY

Past

June 24, 1997 - September 9, 1999

KBFG SECURITIES AMERICA INC.

CRD#: 39356

NEW YORK, NY

Past

September 11, 1996 - June 24, 1997

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

August 5, 1993 - September 20, 1994

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

March 16, 1992 - June 3, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/12/2025)

New York
(9/26/2022)

Exams

State Security Law Exam

Series 63

Date: 4/1/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/12/2023

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 3/29/2019

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/19/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

5D PARTNERS LLC

CRD#: 308304 / SEC#: , 8-70635

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

535 Fifth Ave 4th Floor, New York, NY 10017

Mailing Address

535 Fifth Ave 4th Floor, New York, NY 10017

Phone number

(212) 852-0295

Established

Delaware since 03/10/2020

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
5DP HOLDING LLC	PARENT COMPANY
ALAOUI, SAM HICHAM	EXECUTIVE PRINCIPAL / FINOP	4640450
BLAGYY, NAZARIY	CCO

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.

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Advisor Monitoring

Firm Stability Insights

Charles J. Kim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Jong Won Kim's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAINMAKER SECURITIES, LLC

CHINA RENAISSANCE SECURITIES (US) INC.

MIRAE ASSET WEALTH MANAGEMENT (USA) INC.

DEUTSCHE BANK SECURITIES INC.

ROBERT FLEMING INC.

KBFG SECURITIES AMERICA INC.

CHASE INVESTMENT SERVICES CORP.

CITICORP INVESTMENT SERVICES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 4/1/2011

Series 7TO

Date: 12/12/2023

Series 79TO

Date: 3/29/2019

SIE

Date: 10/1/2018

Series 7

Date: 2/19/2011

FINRA

Current Firm

5D PARTNERS LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

5D PARTNERS LLC

TRUST BUT VERIFY

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