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SK

Sherry T. Kim

BALANCED SECURITY PLANNING
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 3066012
SK

Professional summary

Sherry To-nga Kim, who also goes by Nga To Kim, Sherry Tonga Kim, Sherry T Kim, Sherry To Kimto, is a registered financial professional currently at BALANCED SECURITY PLANNING, INC. located in Newport Beach, California.

Sherry is registered as a RR (Registered Representative) and started their career in finance in 1998. Sherry has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nga To Kim | Sherry Tonga Kim | Sherry T Kim | Sherry To Kimto

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sherry To-nga Kim's CRS (Customer Relationship Summary).
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

January 14, 2026 - Present

BALANCED SECURITY PLANNING, INC.

Office #1: 4701 Teller Avenue, Newport Beach, CA 92660
BD
CRD#: 4038
Newport Beach, CA
Past

May 25, 2021 - October 8, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Los Angeles, CA
Past

October 24, 2018 - May 29, 2020

SHOPOFF SECURITIES, INC.

BD
CRD#: 142866
IRVINE, CA
Past

March 10, 2017 - May 10, 2018

CENTAURUS FINANCIAL, INC.

BD
CRD#: 30833
ANAHEIM, CA
Past

June 27, 2016 - November 29, 2016

MURIEL SIEBERT & CO., LLC

BD
CRD#: 5376
BEVERLY HILLS, CA
Past

March 27, 2015 - December 15, 2015

FOOTHILL SECURITIES, INC.

BD
CRD#: 1027
Santa Clara, CA
Past

March 15, 2006 - November 3, 2014

SCOTTRADE, INC.

BD
CRD#: 8206
ALHAMBRA, CA
Past

April 12, 2002 - March 16, 2006

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA
Past

August 14, 2001 - April 12, 2002

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

October 29, 1998 - July 19, 2001

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/12/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/10/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/9/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/19/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/28/2000
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BALANCED SECURITY PLANNING, INC.
BALANCED SECURITY PLANNING, INC.

CRD#: 4038 / SEC#: , 8-14842

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
4701 Teller Avenue, Newport Beach, CA 92660
Mailing Address
4701 Teller Avenue, Newport Beach, CA 92660
Phone number
(949) 404-2300
Established
Florida since 05/29/1969
Firm type
Corporation
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LIBERTAS FINANCIAL, LLCOWNER
GOPIAO, GEORGE NICOLASCCO, CEO2113470
KIRSCHENBLATT, CHAD ETHANFINOP2503352

Disclosures

Regulatory Event2

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.

Company Information

BALANCED SECURITY PLANNING, INC.

CRD#: 4038Newport Beach, CA 92660

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