Cindy M. Kim
Professional summary
Cindy Masako Kim, who also goes by Cindy Masako Kim, Cindy Masako Tahara, is a registered financial professional currently at EATON VANCE DISTRIBUTORS, INC. located in Seattle, Washington.
Cindy is registered as a RR (Registered Representative) and started their career in finance in 2001. Cindy has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cindy Masako Kim's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 7, 2019 - Present
EATON VANCE DISTRIBUTORS, INC.
Office #1: 800 Fifth Avenue Suite 2800, Seattle, WA 98104July 26, 2018 - December 3, 2018
PRINCIPAL FUNDS DISTRIBUTOR, INC.
June 4, 2001 - May 19, 2006
PRINCIPAL FUNDS DISTRIBUTOR, INC.
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
FINRA
Current Firm
EATON VANCE DISTRIBUTORS, INC.
CRD#: 37731 / SEC#: , 8-47939
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | SHAREHOLDER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| FAMIGLIETTI, FRANK J | DIRECTOR | 2702269 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER, AND, FINANCIAL AND OPERATIONS PRINCIPAL OFFICER | 7463692 |
| LEFEVRE, BENJAMIN WILLIAM | TEXAS DESIGNATED PRINCIPAL | 2261749 |
| LEIMENSTOLL, ANDREW JOHN | DIRECTOR | 4640636 |
| MICHAUD, DAVID ANDREW | DIRECTOR | 2730645 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT, CEO, AND DIRECTOR | 2034689 |
Red Flags
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