Laurence L. 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.
Laurence Lee Kim, who also goes by Larry Kim, Laurence Kim, was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 1993. Laurence had worked at 6 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, SIE, Series 7, Series 6, 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
February 13, 2020 - March 13, 2025
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
July 21, 2010 - July 21, 2020
FIDELITY BROKERAGE SERVICES LLC
January 26, 2009 - July 21, 2020
NATIONAL FINANCIAL SERVICES LLC
April 25, 2005 - March 28, 2007
FIDELITY PERSONAL TRUST COMPANY, FSB
April 20, 2005 - July 24, 2007
STRATEGIC ADVISERS LLC
January 5, 1998 - July 24, 2007
FIDELITY BROKERAGE SERVICES LLC
August 2, 1993 - December 31, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
Primary Firm SEC Registration
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
CRD#: 301896 / SEC#: 801-116860
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
Series 7TO
Date: 3/27/2024
General Securities Representative ExaminationCurrent Firm
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
CRD#: 301896 / SEC#: 801-116860
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 829 |
| AUM (Assets Under Management) | $ 6,468,261,663 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/26/2023 |
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.
