Michael P. Kim
Professional summary
Michael Patrick Kim, who also goes by Michael Patrick Kim, is a registered financial professional currently at HARRIS WILLIAMS located in San Francisco, California.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Patrick Kim's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2023 - Present
HARRIS WILLIAMS
Office #1: One Market Plaza Steuart Tower - 11th Floor, San Francisco, CA 94105January 8, 2020 - September 20, 2023
LIONTREE ADVISORS LLC
January 30, 2014 - November 25, 2019
PIPER SANDLER & CO.
October 12, 2011 - September 3, 2013
PIPER SANDLER & CO.
January 26, 2011 - August 22, 2011
STONE KEY SECURITIES LLC
November 18, 2008 - December 31, 2010
HUDSON PARTNERS SECURITIES LLC
November 20, 2006 - June 16, 2008
J.P. MORGAN SECURITIES LLC
September 20, 2004 - October 12, 2006
LEHMAN BROTHERS INC.
June 19, 2002 - September 26, 2002
THOMAS WEISEL PARTNERS LLC
August 25, 2000 - November 23, 2001
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/20/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HARRIS WILLIAMS
CRD#: 113930 / SEC#: , 8-53380
Contact information
FINRA licenses (45 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BALTIMORE, ROBERT MARTIN | BOARD MEMBER / CO-CEO | 4445610 |
| HART, JASON EDWARD HEATH | FINOP | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL FINANCIAL OFFICER | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL OPERATIONS OFFICER | 4173982 |
| LONG, GEORGE PHILLIP MR. | CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER / CO-CEO | 4578584 |
| POGGI, PAUL THOMAS | CHIEF OPERATING OFFICER AND BOARD MEMBER | 5277661 |
| THOMAS, MICHAEL DUANE | BOARD MEMBER | 2992653 |
| VALENTINE, EDWARD WEST | CHAIRMAN OF THE BOARD OF MANAGERS | 2399981 |
| VAN DER WAAG, ASHLEY HOGUE | CHIEF COMPLIANCE OFFICER | 3079633 |
| WILLIAMS, JULIE ANN | BOARD MEMBER | 6040587 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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