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 Taegene Kim, who also goes by Frank Kim, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1993. Frank had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2015 - December 31, 2015
KIM ASSET MANAGEMENT
January 27, 2014 - December 31, 2014
KIM ASSET MANAGEMENT
November 19, 2012 - December 31, 2013
KIM ASSET MANAGEMENT
February 21, 2006 - May 22, 2012
VOYA FINANCIAL ADVISORS, INC.
December 7, 2005 - May 22, 2012
VOYA FINANCIAL ADVISORS, INC.
July 18, 2005 - December 6, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 18, 2003 - December 6, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 17, 2002 - February 27, 2003
RBC CAPITAL MARKETS, LLC
March 9, 2002 - February 27, 2003
RBC CAPITAL MARKETS, LLC
November 2, 2001 - March 9, 2002
SUTRO & CO. INCORPORATED
February 2, 2001 - November 13, 2001
PIPER SANDLER & CO.
May 3, 1999 - February 9, 2001
ROTH CAPITAL PARTNERS, LLC
December 23, 1996 - April 6, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 10, 1995 - November 29, 1996
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - March 21, 1995
CITIGROUP GLOBAL MARKETS INC.
May 7, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
KIM ASSET MANAGEMENT
CRD#: 165559 / SEC#:
Contact information
Red Flags
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