Kyong H. Kim
Professional summary
Kyong H Kim, who also goes by Kyong Hee Kim, Kyong Kim, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Firestone, Colorado and CETERA INVESTMENT SERVICES LLC located in San Diego, California.
Kyong is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Kyong has worked at 20 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 87, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kyong H Kim's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
June 24, 2015 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101June 24, 2015 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101June 24, 2015 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101June 24, 2015 - Present
CETERA ADVISORS LLC
Office #1: 655 W Broadway12th Fl, San Diego, CA 92101July 1, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
January 26, 2016 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
January 26, 2016 - November 9, 2016
INVESTORS CAPITAL CORP.
January 26, 2016 - December 14, 2016
LEGEND EQUITIES CORPORATION
January 26, 2016 - November 1, 2017
GIRARD SECURITIES, INC.
January 26, 2016 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
January 26, 2016 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
June 25, 2015 - June 29, 2023
CETERA WEALTH SERVICES, LLC
July 9, 2012 - June 4, 2015
COLORADO FINANCIAL SERVICE CORPORATION
July 2, 2012 - June 4, 2015
COLORADO FINANCIAL SERVICE CORPORATION
March 9, 2010 - June 20, 2012
BROOKSTONE SECURITIES, INC.
March 8, 2010 - June 20, 2012
BROOKSTONE SECURITIES, INC.
October 17, 2006 - March 1, 2010
CETERA ADVISORS LLC
October 17, 2006 - March 1, 2010
CETERA ADVISORS LLC
April 19, 2006 - October 2, 2006
OLD MUTUAL CAPITAL
March 24, 2006 - October 2, 2006
OLD MUTUAL INVESTMENT PARTNERS
December 5, 2002 - March 22, 2006
GUNNALLEN FINANCIAL, INC
August 19, 2002 - March 22, 2006
GUNNALLEN FINANCIAL, INC
January 2, 2001 - August 22, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 2, 2001 - August 22, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 4, 1999 - January 2, 2001
JWGENESIS FINANCIAL GROUP, INC
August 24, 1994 - January 4, 1999
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/24/2015)
(6/24/2015)
(6/29/2023)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
