Alex H. 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.
Alex Han Joo Kim, CFP®, who also goes by Alex H Kim, Alex H.j. Kim, Alex Han Kim, Alex Han J. Kim, Han J Kim, Han Kim, Han Joo Kim, Hanjoo Kim, was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 2002. Alex had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2015
Experience
April 5, 2018 - October 2, 2018
PEOPLE'S UNITED ADVISORS, INC.
September 15, 2017 - October 2, 2018
PEOPLE'S SECURITIES, INC.
September 12, 2017 - October 2, 2018
PEOPLE'S SECURITIES, INC.
August 10, 2016 - May 22, 2017
EDELMAN FINANCIAL SERVICES, LLC
August 8, 2016 - May 22, 2017
RETIREONE INVESTMENT SERVICES, LLC
March 21, 2016 - August 16, 2016
M&T SECURITIES, INC.
March 15, 2016 - August 16, 2016
M&T SECURITIES, INC.
May 24, 2013 - March 7, 2016
STRATEGIC ADVISERS LLC
April 14, 2010 - March 2, 2016
FIDELITY BROKERAGE SERVICES LLC
February 9, 2007 - March 29, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2007 - March 29, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 2002 - March 1, 2007
UBS FINANCIAL SERVICES INC.
June 3, 2002 - March 1, 2007
UBS FINANCIAL SERVICES 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
Current Firm
PEOPLE'S UNITED ADVISORS, INC.
CRD#: 292454 / SEC#: 801-112648
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,076 |
| AUM (Assets Under Management) | $ 845,211,011 |
Red Flags
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