Thomas S. Kim

HARBOUR CAPITAL ADVISORS

Tysons Corner, VA 22182

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CRD#: 2311662

Professional summary

Thomas Sargent Kim, who also goes by Thomas S Kim, Tom Kim, is a registered financial advisor currently at HARBOUR CAPITAL ADVISORS, LLC located in Tysons Corner, Virginia.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Thomas has worked at 3 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas S Kim | Tom 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) - RIA

Click below to view Thomas Sargent 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

August 1, 2011 - Present

HARBOUR CAPITAL ADVISORS, LLC

Office #1: 1595 Spring Hill Road Suite 305, Tysons Corner, VA 22182Office #2: 9010 Strada Stell Court Suite 206, Naples, FL 34109

RIA

CRD#: 157266

Tysons Corner, VA

Past

October 20, 1994 - August 19, 1998

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

January 19, 1993 - March 2, 1994

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HARBOUR CAPITAL ADVISORS, LLC

CRD#: 157266 / SEC#: 801-77679

RIA

Registered Investment Advisory firm - (3/1/2013 Approved)

Maryland

Registered Investment Advisory firm - (3/25/2013 Terminated)

Virginia

Registered Investment Advisory firm - (3/11/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(6/3/2015)

IAR

Texas
(9/19/2019)

IAR

Virginia
(8/1/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/18/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 1/15/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HARBOUR CAPITAL ADVISORS, LLC

CRD#: 157266 / SEC#: 801-77679

RIA

Registered Investment Advisory firm - (3/1/2013 Approved)

Maryland

Registered Investment Advisory firm - (3/25/2013 Terminated)

Virginia

Registered Investment Advisory firm - (3/11/2013 Terminated)

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Contact information

Main Address

1595 Spring Hill Road Suite 305, Tysons Corner, VA 22182

Mailing Address

Phone number

(703) 992-6164

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/17/2025)

Regulatory assets under management

Total Number of Accounts	430
AUM (Assets Under Management)	$ 665,628,279

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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Thomas S. Kim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Sargent Kim's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOUR CAPITAL ADVISORS, LLC

FIRST UNION BROKERAGE SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

HARBOUR CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/18/1993

Series 6

Date: 1/15/1993

Current Firm

HARBOUR CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARBOUR CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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