Chris 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.
Chris Kim, CFP® was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 1996. Chris had worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 31 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2012
Experience
April 11, 2023 - July 7, 2025
WELLS FARGO CLEARING SERVICES, LLC
April 11, 2023 - July 7, 2025
WELLS FARGO CLEARING SERVICES, LLC
April 27, 2021 - April 7, 2023
MORGAN STANLEY
May 22, 2020 - December 31, 2020
MORGAN STANLEY
May 14, 2020 - April 7, 2023
MORGAN STANLEY
April 11, 2016 - October 11, 2016
LPL FINANCIAL LLC
April 8, 2016 - October 11, 2016
LPL FINANCIAL LLC
May 28, 2014 - July 25, 2014
LPL FINANCIAL LLC
May 27, 2014 - July 25, 2014
LPL FINANCIAL LLC
October 31, 2011 - December 18, 2014
TOMPKINS FINANCIAL ADVISORS
August 2, 2011 - June 24, 2014
ENSEMBLE FINANCIAL SERVICES, INC.
January 31, 2011 - July 26, 2011
HSBC SECURITIES (USA) INC.
June 7, 2010 - July 26, 2011
HSBC SECURITIES (USA) INC.
August 18, 2004 - January 4, 2006
KBFG SECURITIES AMERICA INC.
October 24, 2003 - August 3, 2004
NH INVESTMENT & SECURITIES AMERICA, INC.
July 7, 2003 - October 20, 2003
ABN AMRO INCORPORATED
May 22, 2000 - June 23, 2003
SAMSUNG SECURITIES (AMERICA), INC.
March 9, 1999 - April 27, 2000
KBFG SECURITIES AMERICA INC.
September 3, 1998 - February 10, 1999
MORGAN STANLEY DW INC.
December 23, 1996 - July 3, 1997
AUERBACH GRAYSON & COMPANY LLC
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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: 5/14/2020
General Securities Representative ExaminationCurrent Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
