Sang Soo 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.
Sang Soo Kim, who also goes by Alex Kim, Alexander Kim, Sang S Kim, Sang Soo Kim, Sang S Kim, Sangsoo Kim, was a registered financial professional .
Sang Soo is a previously registered financial professional and started their career in finance in 1996. Sang Soo had worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2016 - January 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 2016 - January 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 2015 - October 3, 2016
EAGLE STRATEGIES LLC
April 10, 2015 - October 3, 2016
NYLIFE SECURITIES LLC
October 17, 2014 - January 2, 2015
LPL FINANCIAL LLC
October 16, 2014 - January 2, 2015
LPL FINANCIAL LLC
September 12, 2012 - April 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 4, 2012 - April 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 2012 - October 5, 2012
B. RILEY WEALTH ADVISORS, INC.
January 19, 2012 - August 17, 2012
NATIONAL SECURITIES CORPORATION
May 11, 2010 - October 17, 2011
AMERITAS INVESTMENT COMPANY, LLC
February 22, 2010 - October 17, 2011
AMERITAS INVESTMENT COMPANY, LLC
October 23, 2002 - December 6, 2002
MAXIM GROUP LLC
June 1, 1999 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
May 12, 1997 - June 1, 1999
STUART, COLEMAN & CO., INC.
December 5, 1996 - June 19, 1997
BARINGTON CAPITAL GROUP, L.P.
August 12, 1996 - October 29, 1996
SHAMUS GROUP, INC.
August 1, 1996 - August 15, 1996
NORTHEAST SECURITIES, LLC
May 9, 1996 - July 22, 1996
AMERICORP SECURITIES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
