Donald D. Kim

POSITIVE DELTA ASSET MANAGEMENT LLC

Los Angeles, CA 90071

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CRD#: 2944832

Professional summary

Donald Dong Young Kim, who also goes by Donald Young Kim, is a registered financial advisor currently at POSITIVE DELTA ASSET MANAGEMENT LLC located in Los Angeles, California.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Donald has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Donald Young Kim

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

NAME: GEMSTONE, NOT INVESTMENT RELATED, CONSULTING SERVICE COMPANY FOR SMALL BUSINESSES, PRINCIPAL, APPROXIMATELY 15 HOURS/MONTH, 3 DURING SECURITIES TRADING HOURS. DUTIES INCLUDE MANAGING CONSULTING ASSIGNMENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Dong Young Kim's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 7, 2011 - Present

POSITIVE DELTA ASSET MANAGEMENT LLC

Office #1: 520 S. Grand Ave. Suite 1070, Los Angeles, CA 90071

RIA

CRD#: 134775

Los Angeles, CA

Past

January 4, 1999 - January 28, 1999

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

March 19, 1998 - January 4, 1999

LIBRA INVESTMENTS, INC.

CRD#: 25519

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/7/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/4/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/21/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/18/1998

General Securities Representative Examination

Current Firm

POSITIVE DELTA ASSET MANAGEMENT LLC

GB POSITIVE DELTA ASSET MANAGEMENT, LLC | POSITIVE DELTA ASSET MANAGEMENT, LLC | POSITIVE DELTA ASSET MANAGEMENT LLC | GB POSITIVE DELTA ASSET MANAGENT, LLC

CRD#: 134775 / SEC#: 801-69722

RIA

Registered Investment Advisory firm - (7/12/2012 Terminated)

California

Registered Investment Advisory firm - (6/13/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

520 S. Grand Ave. Suite 1070, Los Angeles, CA 90071

Mailing Address

Phone number

(213) 388-3638

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	109
AUM (Assets Under Management)	$ 28,800,658

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.

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Donald D. Kim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Dong Young Kim's CRS (Customer Relationship Summary).

Certified licenses

Experience

POSITIVE DELTA ASSET MANAGEMENT LLC

U.S. BANCORP INVESTMENTS, INC.

LIBRA INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/4/2011

Series 63

Date: 11/21/1997

Series 7

Date: 3/18/1998

Current Firm

POSITIVE DELTA ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

POSITIVE DELTA ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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